Job Description
We are looking for a highly motivated Senior Compliance Officer to join our elite financial team in Charlotte, NC. As a major hub for banking and finance, Charlotte offers a unique opportunity to work in a dynamic environment where your expertise will directly shape our regulatory strategy.
In this pivotal role, you will ensure that Apex Financial Solutions adheres to all federal, state, and local regulations. You will act as the guardian of our reputation, ensuring our operations are transparent, ethical, and fully compliant with industry standards.
Why Join Us?
- Competitive salary package ($85k - $130k).
- Comprehensive health, dental, and vision insurance.
- Generous 401(k) matching plan.
- Professional development and leadership training.
- Work in the heart of Uptown Charlotte.
Responsibilities
- Regulatory Oversight: Monitor and interpret changing laws and regulations to ensure the company remains compliant with FINRA, SEC, and state banking authorities.
- Internal Audits: Conduct regular internal audits of departmental procedures and systems to identify potential risks and compliance gaps.
- Policy Development: Develop, implement, and maintain comprehensive compliance policies, procedures, and internal controls.
- Training & Education: Deliver regular training sessions to staff and management on compliance standards, ethics, and risk management.
- Incident Management: Investigate and resolve compliance violations, preparing necessary reports and recommending corrective actions.
- Vendor Management: Assess third-party vendors to ensure they meet our rigorous compliance standards.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree or MBA is a plus.
- Experience: Minimum of 5 years of experience in a compliance or regulatory affairs role within the financial services industry.
- Licensure: Must hold or be willing to obtain Series 7, Series 63, and Series 24 licenses.
- Technical Skills: Proficiency in compliance management software and enterprise risk management tools.
- Communication: Excellent verbal and written communication skills with the ability to explain complex regulations to non-technical stakeholders.
- Detail-Oriented: Strong analytical skills with an eagle eye for detail and a commitment to accuracy.