Junior CIP Analyst

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, Belfast, and Manila. 

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

We are looking for a Junior Customer Identification Program (CIP) Analyst to join a rapidly growing organization focused on empowering innovation, growth, and efficiency.

We’re 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 clients when there is no way possible to meet their demands. 
• 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 customer suitability requirements. You understand the importance of providing proper investment recommendations and how to monitor trading activity to ensure it is compliant with FINRA requirements.  

What you’ll do all day:

• Perform CIP reviews of accounts introduced to Apex Fintech Solutions. Your primary role will be reviewing documentation provided by our clients to determine if an account passes our CIP checks according to the firm’s policies and procedures.
• Utilize Third Party Vendors and open sources to review negative news on potential end clients. You will utilize and rely heavily upon your research skills to determine whether or not potential clients and/or end customers are a confirmed match to entities/persons associated with derogatory news.
• Document your findings. Clearly communicating your findings in writing in the firms systems is of the utmost importance. You will appropriately document your findings.  

A few reasons why you might love working here:

• Our Compliance track record.  We’ve got 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’ll have genuine opportunities for growth. We care about your career goals and provide options for growth. We encourage outside learning, education and we look to promote within.

And a few reasons why you may not love us:

• You like to have a checklist of things to review.  Each situation may present something new and unknown. You will need to find problems, solutions and accept new challenges. If you’d prefer to have your Manager’s buy-in every step of the way, this is not a job for you.
• You don’t like change.   This is not a job for someone who likes ‘predictable’.  Our customer’s needs are dynamic and can change rapidly, which means the work is dynamic. It’s a fast-paced environment and you need to adapt accordingly. You won’t be bored.
• You’re not the collaborative type.   We bring ideas to the table and we work together to solve these challenges. If you’re looking solely to be an independent contributor, this might not be the right position for you. 

The skills you’ll need to succeed:   

• AML experience in financial securities industry is a plus
• SIE (Securities Industry Essentials) license is a plus
• Bachelor’s degree and/or associate’s degree preferred or equivalent combination of education, certification and/or experience
• Strong verbal 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

​Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Our Rewards

We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 20 days of vacation leave plus regular and special non-working holidays, and a training and development budget. Our benefits also cover private health insurance for medical and dental, as well as life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly team lunch-outs, unlimited drinks and snacks, and company recognition & rewards.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.