Senior Compliance Analyst - Regulatory

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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, 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

• 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 inquiries and participating in regulatory examinations. 
• Submit various regulatory reports to appropriate regulators for processing.
• Integrate low code/no code solutions to support the team including Microsoft SQL and/or Google Looker.
• Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes.

• Strong interpersonal and written communication skills.
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
• Ability to prioritise and multi-task effectively under pressure and excellent orgnisational 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.
• Knowledge of operations, workflows, and the regulatory landscape within custody and clearing firms (preferable).
• In depth knowledge of data analysis and writing scripts to gather the data.

• Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification and/or experience. 
• Minimum 3-5 years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred. 
• FINRA SIE and Series 7 preferred (or willingness to obtain them).

• This role operates in a hybrid office environment 3 days per week

​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 a market-leading salary with an annual bonus, 28 days of annual leave plus 10 Northern Ireland national holidays, a training and development budget, and a pension matched up to 7%. Our benefits also cover private health insurance for medical, dental, and optical care, and life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly catered lunches, unlimited drinks and snacks, hackathon events, poker tournaments, and a charitable matching gift program.

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.