Job Description
Join Apex Financial Group's elite compliance team and shape regulatory excellence in one of America's fastest-growing financial hubs. We're seeking a seasoned Senior Compliance Officer to drive our risk management framework while enjoying competitive compensation and career advancement opportunities. Our Durham-based headquarters offers a collaborative environment where compliance professionals thrive.
As a key member of our regulatory affairs division, you'll implement cutting-edge compliance strategies, mentor junior staff, and partner with executive leadership to ensure adherence to federal and state regulations. This role combines strategic oversight with hands-on execution, making it ideal for ambitious compliance professionals ready to elevate their careers.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with FINRA, SEC, and state regulations
- Lead internal audits and regulatory examinations, preparing detailed reports for executive review
- Design and deliver compliance training programs for 200+ financial advisors and staff
- Manage regulatory relationships with FINRA, SEC, and North Carolina Banking Department
- Investigate potential compliance violations and recommend corrective actions
- Stay current on evolving financial regulations (e.g., Dodd-Frank, AML, MiFID II)
- Mentor junior compliance officers and implement quality assurance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 7+ years of compliance experience in financial services with 3+ years in leadership roles
- FINRA Series 7, 24, and 63/66 certifications required
- Proven expertise in regulatory examinations and internal audit processes
- Advanced knowledge of AML, KYC, and anti-fraud frameworks
- Exceptional analytical skills with experience in compliance software (e.g., MetricStream, LogicGate)
- Strong written communication abilities for policy creation and regulatory reporting
- SHRM-SCP or CCEP certification highly desirable