Job Description
Are you a strategic thinker with a passion for regulatory integrity? Apex Financial Solutions is currently seeking a highly skilled Senior Compliance Officer to join our elite team in Chandler, Arizona.
We are a leading financial institution dedicated to maintaining the highest standards of ethical practice and regulatory compliance. In this pivotal role, you will oversee our compliance programs, mitigate risks, and ensure our operations align with federal and state regulations. We offer a competitive salary package, comprehensive benefits, and a collaborative work environment that fosters professional growth.
Why Join Us?
- Competitive salary range of $85,000 - $115,000 annually.
- Comprehensive health, dental, and vision insurance.
- Generous paid time off and retirement savings plan (401k) with employer matching.
- Opportunities for career advancement in a stable industry.
Location: Chandler, AZ (On-site)
Responsibilities
- Monitor, interpret, and ensure compliance with federal and state financial regulations, including SEC rules, state banking laws, and industry-specific standards.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in company processes.
- Develop and update internal policies and procedures to mitigate compliance risks and enhance operational efficiency.
- Prepare and submit regulatory reports to internal management and external government bodies in a timely manner.
- Train employees on compliance requirements, ethical standards, and reporting procedures.
- Investigate internal complaints and conduct disciplinary actions when necessary to maintain a culture of integrity.
Qualifications
- Bachelor’s degree in Finance, Business Administration, Law, or a related field (Master’s degree preferred).
- Minimum of 5 years of experience in compliance, auditing, or risk management within the financial services industry.
- Strong knowledge of regulatory frameworks such as Dodd-Frank, AML/KYC, and SOX.
- Excellent analytical, problem-solving, and communication skills.
- Certification such as CFE, CFP, or CAMS is highly desirable.
- Ability to work independently and manage multiple priorities in a fast-paced environment.