Compliance Analyst (Policy Management)

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, and Belfast. 

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

We are currently seeking a diligent and detail-oriented Compliance Analyst focused on Policy and Forms Management to join our compliance team. This role involves overseeing and ensuring our company adheres to legal standards and in-house policies. The Compliance Analyst will be responsible for reviewing, developing, and maintaining policies that comply with external regulations. This role requires a high level of discretion and integrity in handling confidential information and assisting the company in managing its operational and regulatory risk effectively.

Duties/Responsibilities

• Develop, implement, and maintain the company’s internal policies and procedures to comply with local, state, and federal regulations.

• Update or create policy and procedure manuals that are clear, comprehensive, and compliant.

• Collaborate with various departments to ensure that policies are understood and implemented effectively.

• Assist in the training and development of staff on compliance issues and the importance of adhering to policies.

• Prepare and present reports that reflect compliance activities and project statuses.

Education and/or Experience

• Bachelor’s degree in Law, Business Administration, Finance, or a related field (or equivalent work experience) required.

• 2+ years of experience in compliance, legal, or regulatory affairs.

• Prior experience in policy management or development within a governance, risk, and compliance framework.

• Knowledge of standard industry practices and professional standards.

Required Skills /Abilities

• Strong analytical and critical thinking skills.

• Excellent verbal and written communication skills.

• Proficient in using Microsoft Office applications, compliance management software, and other related technology.

• Ability to manage multiple projects with overlapping tasks and work independently with minimal supervision.

• Strong attention to detail and a high level of accuracy.

• Strong organizational and time management skills.

Work Environment

• This job operates in a hybrid, office environment.

#compliance #associate #full-time #LI-MW1 #APEX

​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.

Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment

We're looking for all kinds of people.

At Apex, 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. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. 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.