Compliance Intern - Summer 2022

Compliance Intern - Summer 2022
None (more about Peak6 Investment)

Job Description

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 Ireland. 

If you are seeking a fast-paced, entrepreneurial environment where you'll have the opportunity to make and 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

Compliance Intern, Summer 2022

Work Location: Dallas, TX - Remote
Employee Type: Intern
Is Position Eligible for current and/or future Visa Sponsorship: No
Internship Timeline
Start: May 30th – August 19th 2022

APEX CLEARING – Compliance Intern

Apex delivers speed, efficiency & flexibility through technology solutions to firms ranging from innovative start-ups to blue-chip brands who choose to grow with us. We embrace a culture of growth, experimentation, and creativity.  Employees of Apex are asked to exercise their own responsibility and freedom, allowing each person to have a measurable impact on the business and provide plenty of opportunity for advancement and personal growth. Sound like something you would want to be a part of? We're hiring!

Apex Clearing is seeking an intern to join the Compliance team. The Compliance team is focused on creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

We are currently looking a Compliance intern in Dallas, TX. The intern must be able to commit to a 12-week full-time (40hrs/week) internship during Summer 2022. Not eligible for visa sponsorship.

What you’ll do all day:

  • Compliance liaison Provide general regulatory and other compliance-related updates to ensure continued rule compliance for futures. You will be focused on the responsibilities related to our expanding futures business to ensure compliance with procedures and processes.
  • Participate in continuous improvement projects with various teams You will interact with Risk groups and other business units by providing day to day compliance functions for the firm to ensure ongoing awareness with updates and changes.
  • Help the company continue to meet standards You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm’s business practices and processes.

The skills you’ll need to succeed:

  • Interest in financial services
  • Be currently enrolled in a full-time Bachelor's degree program in Business or other related major graduating in 2023. Junior or Senior standing preferred. 
  • Excellent problem-solving skills with high attention to detail
  • Effective inter-personal, verbal, and written communication skills
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.

Preferred skills:

  • A strong understanding of Windows-based applications, including proficiency with Microsoft Excel, Word, and Powerpoint
  • Relevant work experience or work experience in a professional environment (e.g. internships, summer positions, school jobs, etc)

**For US Residents Only - Apex currently requires all employees as a condition of employment to either be fully vaccinated for COVID-19 or submit to regular testing. The CDC defines "fully vaccinated" as two weeks after the second dose for Pfizer and Moderna, and two weeks after the single dose of Johnson & Johnson.  Apex Clearing will also require proof of vaccination and/or testing.  Apex will also consider requests for exemption from these requirements as a reasonable accommodation for medical reasons or sincerely held religious beliefs.**