Job Description
Are you a detail-oriented professional looking for a high-impact career? Apex Financial Solutions is seeking a Senior Compliance Officer to lead our regulatory integrity initiatives in the heart of New York City.
Join a prestigious firm where your expertise in financial regulations and risk management will directly influence our strategic direction. We offer a competitive compensation package, comprehensive benefits, and a collaborative environment that fosters professional growth.
Job Overview
In this pivotal role, you will ensure that Apex Financial Solutions operates within all applicable federal and state laws, including the SEC, FINRA, and New York State regulations. You will serve as the primary guardian of our compliance framework, bridging the gap between legal requirements and business operations.
Responsibilities
- Monitor Regulatory Changes: Continuously track evolving laws and regulations to ensure our internal policies remain current and compliant.
- Conduct Internal Audits: Perform comprehensive reviews of financial operations to identify vulnerabilities and recommend corrective actions.
- Manage AML/KYC Procedures: Oversee Anti-Money Laundering and Know Your Customer protocols to prevent fraud and financial crimes.
- Regulatory Reporting: Prepare and submit accurate reports to regulatory bodies and internal stakeholders as required.
- Lead Investigations: Spearhead internal investigations into compliance breaches and coordinate with external legal counsel.
- Training & Development: Develop and deliver compliance training programs to ensure all employees understand their obligations.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field; Master’s degree or JD preferred.
- Experience: Minimum of 5-7 years of progressive experience in compliance, risk management, or internal auditing within the financial sector.
- Certifications: CFE, CPA, CFA, or CRCM certification is highly preferred.
- Technical Skills: Proficiency in compliance management software and advanced knowledge of MS Office Suite.
- Communication: Exceptional verbal and written communication skills with the ability to explain complex regulations to non-technical audiences.