Job Description
Are you a strategic thinker with a passion for regulatory excellence?
Apex Global Compliance Services is seeking a highly skilled Senior Compliance Officer to join our dynamic team in San Jose, CA. In this pivotal role, you will ensure that our organization adheres to all local, state, and federal regulations while fostering a culture of integrity and transparency.
As a leader in the fintech sector, we offer a competitive compensation package, comprehensive benefits, and a collaborative environment where your expertise will directly impact our business growth and reputation.
Why Join Us?
- Competitive Pay: Salary range of $120k - $160k depending on experience.
- Health & Wellness: Premium medical, dental, and vision insurance.
- Retirement: 401(k) matching with immediate vesting.
- Growth: Clear pathways for career advancement within the firm.
We are looking for a detail-oriented professional to oversee our compliance programs and mitigate risk effectively.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program tailored to our business operations in San Jose.
- Conduct regular internal audits to ensure adherence to internal policies, regulatory standards, and legal requirements.
- Monitor changes in federal, state, and local laws (e.g., FINRA, SEC, GDPR) and update company procedures accordingly.
- Provide training and guidance to staff members on compliance matters and ethical business practices.
- Investigate potential violations or breaches of compliance and recommend corrective actions.
- Prepare detailed compliance reports for the Board of Directors and executive leadership.
- Collaborate with legal teams to manage external audits and regulatory examinations.
Qualifications
- Bachelor’s degree in Business Administration, Law, Finance, or a related field required; Master’s degree or Juris Doctor (JD) preferred.
- Minimum of 5 years of experience in a compliance, risk management, or legal role within the financial or technology sector.
- In-depth knowledge of US financial regulations, including SOX, KYC/AML, and data privacy laws.
- Strong analytical skills with the ability to interpret complex regulatory frameworks.
- Excellent communication and interpersonal skills, with the ability to train and influence cross-functional teams.
- Certification such as CFE, CFA, or CAMS is a significant plus.
- Ability to work independently and manage multiple priorities in a fast-paced environment.