Job Description
Join our elite compliance team at Apex Financial Group and shape the future of regulatory excellence in Buffalo's thriving financial sector. As a Senior Compliance Officer, you'll drive our mission to maintain industry-leading standards while enjoying a competitive compensation package with comprehensive benefits. This high-impact role offers unparalleled opportunities for professional growth in a dynamic, forward-thinking environment.
Responsibilities
- Develop and implement comprehensive compliance frameworks aligned with FINRA, SEC, and NYDFS regulations
- Lead internal audits and risk assessments across investment banking operations
- Monitor regulatory changes and update policies to ensure 100% adherence
- Train senior staff on compliance protocols and emerging regulatory requirements
- Manage regulatory reporting and maintain documentation for all compliance activities
- Collaborate with legal and audit teams to resolve compliance escalations
- Champion a culture of compliance through proactive risk mitigation strategies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services
- FINRA Series 7, 24, and 63/66 certifications required
- Expertise in NYDFS Part 500 regulations and AML protocols
- Proven track record of designing compliance programs for financial institutions
- Advanced proficiency in compliance software (e.g., Nasdaq Comply, Adenza)
- Strong analytical skills with ability to interpret complex regulatory documents
- SHRM or CRCM certification preferred