Job Description
Join our dynamic finance team at Apex Financial Partners as a Senior Compliance Officer. This pivotal role ensures adherence to federal and state regulations while driving ethical standards across all operations. You'll collaborate with legal, risk management, and executive teams to develop robust compliance frameworks and mitigate regulatory risks. We offer competitive compensation, comprehensive benefits, and opportunities for professional growth in Raleigh's thriving financial sector.
Responsibilities
- Monitor regulatory changes (SEC, FINRA, CFPB) and implement compliance policies
- Conduct internal audits and risk assessments for financial products
- Develop training programs for staff on compliance protocols
- Investigate and resolve compliance breaches with corrective action plans
- Prepare regulatory reports and disclosures for federal agencies
- Liaise with external regulators during examinations
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation
- Expertise in FINRA, SEC, and North Carolina state regulations
- Strong analytical skills with attention to detail
- Experience with compliance software (e.g., ComplySci)