Regulatory Compliance Specialist

3 weeks 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

  • Chicago, Illinois, United States Interactive Brokers Full time

    At Interactive Brokers, we are seeking a highly motivated and detail-oriented Regulatory Compliance Specialist to join our team in Chicago, Illinois.This is a hybrid role that requires three days in the office and two days remote. As a Regulatory Compliance Specialist, you will play a critical role in ensuring the firm complies with the Bank Secrecy Act, USA...


  • Chicago, Illinois, United States Avant Full time

    Regulatory Compliance Role at AvantWe are seeking a highly motivated and detail-oriented individual to join our team as a Regulatory Compliance Specialist. As a key member of our compliance team, you will be responsible for conducting second-line regulatory compliance monitoring and testing, supporting regulatory risk assessments, and supporting regulatory...


  • Chicago, Illinois, United States BioSpace, Inc. Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Specialist to join our team at BioSpace, Inc. The ideal candidate will have a strong background in clinical pharmacology and regulatory compliance, with excellent analytical and problem-solving skills.Key ResponsibilitiesPerform quality control reviews of regulatory, scientific, and clinical...


  • Chicago, Illinois, United States Tempus Full time

    Job SummaryTempus is seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our Document Control team, you will be responsible for ensuring compliance with CAP/CLIA, FDA regulations, ISO, and other regulatory standards.This is a hybrid role that requires strong analytical and problem-solving skills, as well as...

  • Compliance Specialist

    3 weeks ago


    Chicago, Illinois, United States Alliance for Clinical Trial in Oncology Foundation Full time

    Job Title: Compliance SpecialistThe Alliance for Clinical Trials in Oncology Foundation is seeking a highly skilled Compliance Specialist to join our team. As a key member of our organizational compliance program, you will play a critical role in ensuring the operational aspects of our clinical trials and translational research are conducted in compliance...


  • Chicago, Illinois, United States RSM Full time

    We are seeking a highly skilled Regulatory Compliance Manager to join our Risk Advisory Services practice at RSM. As a key member of our team, you will lead and deliver regulatory compliance internal audits, assessments, and model validations for clients in the banking and financial services industries.Key Responsibilities:Develop strong relationships with...


  • Chicago, Illinois, United States FORVIS Full time

    Job SummaryWe are seeking a highly skilled Regulatory Advisory Manager to join our team at Forvis Mazars. As a key member of our audit and compliance team, you will be responsible for leading and managing audits of AML and Sanctions programs to ensure compliance with regulatory requirements and internal policies.Key ResponsibilitiesLead and manage audits of...


  • Chicago, Illinois, United States Trinite Consulting Group Full time

    Job SummaryThe Regulatory Labeling Specialist/Manager is responsible for ensuring compliance with FDA requirements for product labels and packaging. This role involves working closely with cross-functional teams to support submission, review, and product launches while maintaining ongoing compliance throughout the product lifecycle.Key...


  • Chicago, Illinois, United States No7 Beauty Company Full time

    About the RoleWe are seeking a highly skilled Regulatory Specialist to join our team at No7 Beauty Company. As a key member of our regulatory team, you will play a critical role in ensuring our cosmetic and OTC products are compliant with US and Canadian regulations and retailer requirements.Key ResponsibilitiesProvide regulatory and technical support to...


  • Chicago, Illinois, United States Nextdoor Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Counsel to join our team at Nextdoor. As a key member of our Counsel team, you will play a critical role in analyzing laws that impact our platform and products, developing practical compliance plans, and working cross-functionally with teams to implement these plans.Key...

  • Compliance Officer

    3 weeks ago


    Chicago, Illinois, United States Corient Private Wealth LLC Full time

    Job SummaryCorient Private Wealth LLC is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a crucial role in maintaining our organization's compliance with laws, regulations, and internal policies while optimizing our operational processes.Key ResponsibilitiesReview and approve marketing materials from a...

  • Compliance Officer

    3 weeks ago


    Chicago, Illinois, United States Marex Spectron Full time

    Marex Spectron is a global financial services platform, providing essential liquidity, market access, and infrastructure services to clients in the energy, commodities, and financial markets.The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging, and Investment Solutions and Agency and...


  • Chicago, Illinois, United States U of C NORC Full time

    Job Summary:NORC at the University of Chicago is seeking a highly motivated and organized Senior Compliance Specialist to oversee and ensure the organization's compliance and adherence to contract, federal, and state requirements. This role will have primary responsibility for auditing HR processes, procedures, and protocols across the department, with a...


  • Chicago, Illinois, United States AbbVie Full time

    Job SummaryWe are seeking a highly skilled Clinical Compliance Specialist to join our team at AbbVie. The successful candidate will be responsible for ensuring compliance with applicable Corporate and Divisional policies and procedures.Key ResponsibilitiesPerform Quality Control review of regulatory, scientific, and clinical documents for Clinical...


  • Chicago, Illinois, United States Bank of America Full time

    At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.We are seeking a highly skilled Regulatory Reporting Specialist - Collateral Operations to join our...


  • Chicago, Illinois, United States Wabtec Full time

    About WabtecWabtec Corporation is a leading global provider of equipment, systems, digital solutions, and value-added services for freight and transit rail. With a rich history spanning nearly four centuries, the company has developed unmatched digital expertise, technological innovation, and world-class manufacturing and services, enabling the digital rail...


  • Chicago, Illinois, United States Nexus Talent Connect Full time

    Job OverviewNexus Talent Connect is seeking a skilled Associate with experience in Medicaid regulatory and policy issues to join a prestigious firm.As a Healthcare Regulatory Specialist, you will engage in projects that enhance access to affordable, high-quality healthcare services. Your expertise in Medicaid issues, such as coverage, reimbursement, managed...


  • Chicago, Illinois, United States Brown and Caldwell Full time

    Job Summary:We are seeking a highly motivated and detail-oriented Environmental Compliance Specialist to join our team at Brown and Caldwell. As a key member of our Compliance and Permitting team, you will be responsible for providing environmental and health and safety regulatory compliance, regulatory auditing, and environmental and health and safety...


  • Chicago, Illinois, United States Diverse Lynx Full time

    Job Summary: We are seeking a highly skilled GRC Compliance Specialist to join our team at Diverse Lynx LLC. The successful candidate will be responsible for conducting thorough reviews of applications to identify security gaps and compliance issues. Key Responsibilities: Conduct regular reviews of applications to ensure compliance with regulatory...


  • Chicago, Illinois, United States Northwestern Memorial Healthcare Full time

    Job DescriptionAt Northwestern Memorial Healthcare, we strive to provide a positive and supportive work environment for our patients and employees. As an Environmental Compliance Specialist, you will play a crucial role in ensuring that our organization adheres to all relevant regulations and standards.The Environmental Compliance Specialist will be...