Job Description
Urgent Opportunity! Apex Regulatory Services is seeking a highly skilled Compliance Officer to join our growing team in Anaheim, California. In this pivotal role, you will ensure that our organization adheres to all relevant legal and regulatory standards while maintaining the highest level of corporate integrity.
If you are detail-oriented, proactive, and ready to make an immediate impact, we want to hear from you. Apply today to join a dynamic company committed to excellence.
Responsibilities
- Monitor and interpret federal, state, and local regulations to ensure full compliance with company policies.
- Conduct internal audits and risk assessments to identify potential areas of non-compliance.
- Develop and update comprehensive compliance policies and procedures.
- Investigate and resolve internal compliance violations and recommend corrective actions.
- Prepare detailed reports for senior management and regulatory bodies.
- Train staff on compliance standards, ethics, and regulatory updates.
- Coordinate with legal counsel to manage external audits and investigations.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field.
- 3-5 years of experience in compliance, risk management, or auditing.
- Deep understanding of relevant industry regulations (e.g., SEC, FINRA, HIPAA, or state-specific laws).
- Strong analytical and problem-solving skills with a keen eye for detail.
- Excellent verbal and written communication abilities.
- Certification such as CCEP, CRCM, or JD is a plus.
- Ability to work independently and manage multiple priorities in a fast-paced environment.