Regulatory Compliance Specialist

4 days ago

Chicago, Illinois, United States Apex Fintech Solutions Full time
Role Overview

We are seeking an experienced Regulatory Compliance Officer to oversee our organization's regulatory compliance functions, including exam management, regulatory change management, and risk corrective action plans. The successful candidate will be responsible for ensuring that all company operations are conducted in compliance with ethical practices, legal standards, and regulatory requirements.

Key Responsibilities:

• Monitor and analyze regulatory updates and changes to ensure all compliance policies and procedures are up-to-date
• Direct the preparation and submission of regulatory filings and reports with appropriate agencies
• Manage the response to regulatory inquiries and inspections, and oversee the resolution of compliance issues
• Prepare and present clear and detailed compliance status reports to senior management and relevant committees

Requirements:

• Strong leadership and managerial skills to lead the compliance team effectively
• Excellent communication skills, both written and verbal, to articulate complex compliance issues clearly
• Detailed understanding of the regulatory environment and ability to interpret and apply regulatory standards
• Proven analytical and problem-solving skills to effectively handle compliance issues
• High degree of professional ethics and integrity
• Strong organizational skills with the ability to manage multiple priorities and tasks simultaneously

Education and/or Experience:

Bachelor's degree in Law, Business Administration, Finance, or a related field is required
Advanced degree (e.g., JD, MBA) preferred
Minimum of 8-10 years of experience in a compliance role within a regulated industry, with significant exposure to exam management, regulatory change management, and risk corrective action plans
FINRA Series 7 license required and willingness to obtain a Series 24
Proven track record of successfully managing comprehensive compliance programs
Previous experience with regulatory bodies and knowledge of their processes is highly desirable

What We Offer:

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental, and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match
We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits
At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices

Our Commitment to Diversity, Equity, Inclusion, and Belonging:

We're looking for all kinds of people
We believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life
We value every team member's unique perspective and are committed to fostering a culture where everyone belongs
Join us in our mission to empower and celebrate individual differences
Apex is committed to being an equal opportunity employer
We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law

Know Your Rights:

Workplace discrimination is illegal
We stand by this commitment to promote a diverse, equitable, and inclusive workforce

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