Job Description
Are you a strategic thinker with a passion for risk mitigation? Apex Regulatory Group is seeking a highly qualified Compliance Officer to lead our regulatory initiatives in Plano, Texas. We pride ourselves on fostering a culture of integrity and transparency. If you are looking for a high-impact role with a competitive compensation package, this is your opportunity to advance your career.
As a key member of our executive team, you will ensure our operations adhere to federal, state, and local laws. We offer a comprehensive benefits package, including health insurance, a 401(k) match, and continuous professional development opportunities.
Responsibilities
- Develop & Implement: Design, implement, and maintain robust compliance programs and policies to mitigate legal and financial risks.
- Regulatory Monitoring: Stay abreast of changes in financial regulations (e.g., SEC, FINRA, AML laws) and ensure organizational adaptation.
- Internal Audits: Conduct regular internal audits and risk assessments to identify potential vulnerabilities and ensure compliance with established standards.
- Training & Education: Deliver comprehensive training sessions to staff on compliance procedures, ethical standards, and regulatory updates.
- Investigations: Lead investigations into potential violations and recommend corrective actions to senior management.
- Reporting: Prepare detailed reports for the Board of Directors and regulatory bodies regarding compliance status and operational health.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree (MBA, JD) preferred.
- Experience: Minimum of 5-7 years of experience in compliance, risk management, or auditing within the financial services sector.
- Knowledge: Deep understanding of federal and state regulations, internal controls, and corporate governance.
- Certifications: CAMS, CFE, CFA, or CPA certification is a strong plus.
- Skills: Exceptional analytical skills with the ability to interpret complex regulations and apply them practically.
- Communication: Excellent verbal and written communication skills with the ability to train diverse audiences.