Apex Capital Group is seeking an experienced Compliance Officer on a 6-month contract basis to assist with a firm-wide regulatory review and compliance framework update. This engagement will involve assessing current policies and procedures against SEC, FINRA, and applicable state regulations, identifying gaps, and developing remediation recommendations for senior leadership.
The successful candidate will review trading records, client documentation, and internal policies for compliance adherence. You will also assist in designing and delivering compliance training materials for staff, maintaining regulatory filings, and supporting the firm’s response to any regulatory inquiries during the engagement period.
This role requires a minimum of 5 years of compliance experience within a registered investment adviser, broker-dealer, or financial institution. JD or professional compliance certifications (CCEP, CRCM) are strongly preferred. Strong knowledge of securities law and financial regulation is essential.