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
The Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program. The role requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner. The individual will embody a profound sense of ownership, accountability, and expertise, ensuring that our standards of operational resiliency are consistently met.
Duties/Responsibilities:

• 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 inquires and participating in regulatory examinations
• Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm's business practices and processes

Required Skills/Abilities:

• Strong interpersonal and written communication skills
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
• Ability to prioritize and multi-task effectively under pressure and excellent organizational 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

Education and/or Experience:

• Bachelor's degree and/or associate's degree plus equivalent combination of education, additional certification and/or experience
• Minimum of 1-3 years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred
• FINRA Series 7 required; Series 24 preferred (or willingness to obtain the Series 24)
• Experience with FINRA rules applicable to marketing and client communications and regulatory filings
• In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations

This job operates in an office environment 3 times a week in the office.
#compliance #LI-MJ1 #APEX #full-time
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.