Compliance Analyst (Testing)

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
T he Compliance Analyst (Testing) will undertake duties in accordance with the Compliance Testing Programme , which will include creating test scripts and supporting the wider team in ensuring that business activities and processes are compliant with rules and regulations. They will undertake risk assessments across various functional areas, identify weaknesses and provide data which will inform remediation . An individual in this position must have strong reporting and analytical skills, attention to detail, organizational skills, and the ability to effectively communicate
Duties/Responsibilities

• The role is responsible for assessing compliance risks and controls implemented by the business and functional areas in accordance with FINRA, SEC, and CTFC regulatory requirements.
• The role will perform independent testing activities (testing and on-going monitoring) to assess the design and effectiveness of key processes and controls designed to address compliance FINRA, SEC, and CFTC risk
• Participating in the development and enhancement of the compliance testing methodologies and standards for testing, monitoring, and reporting
• Developing and executing testing plans including sample selection, data analysis and documentation of findings
• Collaborating with internal stakeholders to understand business operations and identify compliance risks
• Identifying industry best practices and sharing insight with the broader Compliance team on an ongoing basis
• Informing Compliance management of significant compliance matters that require their attention or action

Education and/or Experience

• Ba chelor's Degree or equivalent work experience required
• 2+ years of Compliance, Legal, Regulatory, or Financial Services experience
• 2+ years of experience conducting and performing regulatory exams, auditing, testing or completing risk assessments
• Encompass a level of understanding of the role of Compliance and Risk Management
• Experience in planning, executing (including assessment of policies and procedures and creating testing scripts).and reporting on compliance testing reviews and regulatory issue validation activities

Required Skills/Abilities

• Strong interpersonal skills and experience building strong relationships with stakeholders and engaging geographically diverse teams
• Excellent oral communication and writing skills, especially when interacting with non-executives and executive management across a number of business lines and control functions
• Must be a self-starter, flexible, innovative and adaptive
• Highly motivated, strong attention to detail, team oriented, and organized
• Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential
• Ability to identify and analyze trends

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.