Trade Surveillance Analyst

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

The Trade Surveillance Analyst will join the Compliance team of a rapidly growing organization focused on empowering innovation, growth and efficiency. The ideal candidate will be responsible for monitoring and analyzing trading activities to ensure adherence to industry regulations and internal policies. This role is critical in preventing fraudulent activities and ensuring the integrity of the markets we serve.

Duties/Responsibilities

• Analyze trade activity of retail and institutional brokerage clients, as well as registered investment advisors, to identify and/or prevent market manipulation and market abuse including but not limited to insider trading, ramping, spoofing/layering, etc...

• Investigate suspicious trade activity or patterns of unusual trading as appropriate for equity, options, and futures securities transactions

• Consistently communicate with correspondent firms to provide education on current trends and best practices

• Research, analyze, and interpret current, new, and proposed trade monitoring related regulatory requirements to determine the impact to current processes and procedures

• Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices in relation to trade surveillance

• Participate in regulatory and internal audits involving trade surveillance related matters when needed

Education and/or Experience

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

• 3+ years of experience in the trade surveillance functions for a retail and/or institutional broker-dealer (Correspondent Clearing experience strongly preferred)

• Experience in composing WSPs and other operational procedures

• FINRA Series 7 and Series 24 required (or willingness to obtain); Series 3 is a plus

Required Skills/Abilities

• Knowledge of applicable SEC and FINRA trade regulations that apply to a Correspondent Clearing Firm

• Familiarity with Surveyor or other third-party trade monitoring systems is a plus

• Strong interpersonal and written communication skills

• 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 prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

• Ability to run SQL inquiries and/or program, along with advanced Excel knowledge

• Thorough understanding of options including their use in hedging strategies

Work Environment

• This job operates in a hybrid, office environment.

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