Compliance Analyst, Regulatory Requests

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

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.
  • 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’ll do all day:

  • 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 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
  • FINRA 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
  • 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 multi-task effectively under pressure and excellent organizational and time management skills are essential

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