Compliance Analyst (Regulatory Requests)

WHO WE ARE

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers. 

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Portland, Belfast, and Manila.

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. 

AFS has received a number of prestigious industry awards, including:

• 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards

• 2021 Most Innovative Companies - presented by Fast Company

• 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

ABOUT THIS ROLE

The Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program. The role requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner. The individual will embody a profound sense of ownership, accountability, and expertise, ensuring that our standards of operational resiliency are consistently met.

Duties/Responsibilities:

• Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines

• Interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes
• Actively participate in responding to various types of regulatory inquires and participating in regulatory examinations 
• Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes

Required Skills/Abilities:

• Strong interpersonal and written communication skills

• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential
• A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives

Education and/or Experience:

• Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification and/or experience
• Minimum of 1-3 years of experience in the compliance functions of a broker-dealer
• Correspondent Clearing experience strongly preferred 
• FINRA Series 7 required; Series 24 preferred (or willingness to obtain the Series 24) 
• Experience with FINRA rules applicable to marketing and client communications and regulatory filings

• Experience with client communications and regulatory filing requirements as well as SEC, FINRA, and state securities rules that regulate the firm’s written supervisory procedures
• In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations
• Clear and concise interpersonal communications skills, both written and oral
• Highly motivated with capability to work with minimum supervision on a wide range of matters
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
• Ability to multi-task effectively under pressure simultaneously within a fast-paced work environment without impacting the quality of work

#APEX #compliance #associate #full-time #LI-MJ1

​Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Our Rewards

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.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.