Job Description
Join our elite compliance team at Apex Financial Group, a leading fintech innovator in Raleigh's thriving Research Triangle. We're seeking a Senior Compliance Officer to drive regulatory excellence in a dynamic, high-impact environment. Enjoy competitive compensation, comprehensive benefits, and the opportunity to shape compliance strategy for cutting-edge financial solutions.
Why Apply? • Industry-leading compensation package • Hybrid work flexibility • Professional development stipends • Collaborative culture with Fortune 500 exposure
Responsibilities
- Develop and implement compliance programs adhering to federal/state regulations (FCRA, GLBA, Dodd-Frank)
- Conduct risk assessments and internal audits across 15+ business units
- Lead regulatory reporting for SEC/FINRA/NASD filings
- Train 50+ employees on compliance protocols and ethical standards
- Manage vendor due diligence for third-party risk mitigation
- Coordinate with legal counsel on regulatory changes and enforcement actions
Qualifications
- Bachelor's degree in Finance/Law/Compliance (MBA/JD preferred)
- 7+ years compliance experience in financial services
- CCEP/CCEP-I certification required
- Expertise in AML, BSA, and OFAC regulations
- Advanced proficiency in compliance software (ComplianceEase, MetricStream)
- Proven track record of reducing compliance violations by 40%+
- Strong analytical skills with data-driven decision making