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, 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
Our Compliance Analyst, Regulatory Requests will join a rapidly growing organization focused on empowering innovation, growth and efficiency.
We are looking for someone who:

• Thinks strategically and is inquisitive - You are intellectually curious and love finding and solving challenges with creative and simple solutions. You find ways to get things done efficiently without sacrificing quality.
• Takes initiative and is a high performer - You are driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
• Have great communication skills - Not only are you articulate when verbally communicating but you can get the message through in a written format. You also provide alternatives for peers when there is no way possible to compromise regulation requirements.
• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds. Your contributions are not limited to your assigned tasks.
• Holds Investment Securities Experience - You are organized, understand investment terminology and regulatory requirements. You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

What you will do all day:

• Serve as compliance liaison - Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.
• Participate in continuous improvement projects with various teams - You will 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.
• Investigate regulatory inquires - One of your primary objectives will be to actively participate in responding to various types of regulatory inquires and participating in regulatory examinations.
• Help the company continue to meet standards - You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm's business practices and processes.

A few reasons why you might love working here:

• Our Compliance track record - We have got an incredible Compliance track record. We foster a culture of Compliance throughout our firm.
• Our team is passionate and driven to succeed - We work as a team and build off of each other's knowledge and ideas. We encourage growth and give you a platform to succeed.
• You are open to change - We are not satisfied with the status- quo. We are continually changing and looking for someone who is looking to change with us.
• You will have genuine opportunities for growth - We care about your career goals and provide options for growth. If you are successful in a smaller firm, you are likely to be rewarded and recognized much faster than at a larger firm.

The skills you will need to succeed:

• Bachelor's degree and/or Associate's degree plus equivalent combination of education, additional certification and/or experience
• Minimum of 3-5 years of experience in the compliance functions of a broker-dealer
• Correspondent Clearing experience strongly preferred
• FINRA Series 7 required
• 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

#compliance #associate #full-time #LI-MJ1
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
At Apex, we embrace diversity and are dedicated to creating an inclusive and equitable workplace. 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. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.