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, Los Angeles, 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:
Apex Fintech Solutions (“AFS”) is committed to complying with laws, regulations, and regulatory standards through the implementation of a Compliance Management Program (“Program”). This Program applies to AFS and each of its subsidiaries and affiliates and establishes a common framework and expectations for compliance across AFS. AFS has established the Program to maintain a strong and comprehensive compliance risk management culture as well as governance and controls to implement that culture.
The Senior Compliance Analyst, Policy Management is a key member of the AFS Compliance group and important contributor to the Program. The role helps to ensure policies, procedures and related documentation meets regulatory requirements, industry best practices, and high corporate standards for readability, and applicability. The Senior Compliance Analyst is part of a team that provides Second Line of Defense oversight, as outlined Written Supervisory Procedures, compliance policies and other documentation. The role specifically contributes to the Program through the development, maintenance and implementation of Compliance policies and procedures, WSPs and related Program documentation as required to ensure employees understand their requirements under the Program. This work includes supporting the implementation and management of the Firm’s governance program through close work with compliance personnel and officers, risk team members and 1st Line of defense business partners.
As a Senior Compliance Analyst in the AFS Compliance Program, this role also provides limited support and guidance to other regulated and non-regulated businesses’ applicable policy, procedure and compliance program implementation requirements globally, as may be required. This role applies financial services regulatory knowledge, financial services industry experience, and important writing and communication skills to continually enhance and sustain a robust and scalable Program for AFS. The incumbent must demonstrate strong writing and communication skills and work effectively with multiple stakeholders within the organization to enhance understanding of compliance and regulatory risks.