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Senior Compliance Analyst, Policy Management
(more about Peak6 Investment)
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Senior Compliance Analyst, Policy Management

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:

  • 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

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.

Responsibilities

  • Coordinate with Compliance Officers and Compliance leadership to develop, write and maintain policies and procedures, and similar documentation
  • Support control documentation, business procedure development and proper governance as mandated by regulatory guidelines
  • Support the Apex Policy Governance process to effectively communicate changes, implement proper controls, and create best practices
  • Collaborate with the Compliance Program Testing team and Enterprise Risk for proper remediation plans and new initiatives to understand their impact on policies and procedures
  • Partner with key stakeholders across the firm to communicate policy templates and proper guidance on developing procedure guides
  • Analyzing issues, facts, and available information to develop logical solutions; researching inconsistencies of facts or data; drawing correct inferences from information and making recommendations that support business decisions

Qualifications:

  • Bachelor's Degree or equivalent work experience, required
  • Juris Doctorate or equivalent work experience, preferred  
  • 5+ years of Compliance, Legal, Regulatory experience in the financial services industry (preferably clearing/custodian)
  • 5+ years of experience writing, overseeing, implementing a policy management program
  • Strong interpersonal skills and experience building strong relationships with stakeholders and engaging teams
  • Excellent oral communication and writing skills, especially when interacting with non-executives and executive management across a number of business lines and control functions
  • Must be a self-starter, flexible, innovative, and adaptive
  • Highly motivated, strong attention to detail, team oriented, and organized
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential

 

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