COMPLIANCE ANALYST

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, 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

ABOUT THIS ROLE

The Compliance Analyst will coordinate with the Sales Practice Compliance professionals and other members of the Apex Fintech Solutions (AFS) Compliance department, including the Enterprise Chief Compliance Officer, to ensure regulatory requirements and industry practices are met with respect to the firm’s provision of services related to Sales Practice Compliance. The focus of the role will be to assist in communicating regulatory advice and guidance, policy interpretation, conducting monitoring activities, procedures documentation, and other related activities to support the sustainable and scalable implementation of the Sales Practice Compliance program to ensure that FINRA, SEC, and related industry practices are properly identified, and requirements are met.

Duties/Responsibilities:

Adheres to the policies and procedures of the Sales Practice Compliance group within Apex, and other functional areas with a focus on FINRA and SEC regulatory requirements

Performs administrative functions such as data entry, cross referencing, and scheduling

Reviews firm marketing and advertising material, revising and editing copy for clarity and regulatory control

Completes new business reviews, researching introducing firms and their key personnel to ensure cohesiveness with Apex’s mission

Enforces electronic communications compliance; examines all firm electronic correspondence to ensure adherence to industry regulations and firm policies

Assists with regulatory inquiries and/or examinations and coordinates with regulators and other parties

Supports wider Compliance team with guidance on rules and regulations and the interpretation of internal compliance policies

Collaborates with other internal areas such as Legal, Risk, Sales, Marketing, Operations, and Technology to help address compliance issues which may impact the supported function/business/product

Identifies industry best practices and shares insight with the broader Compliance team on an ongoing basis

Informs compliance management of significant compliance matters that require their attention or action

Education and/or Experience:

Bachelor's Degree or equivalent work experience

1 - 3 years of Compliance, Legal, Regulatory, or Financial Services experience

Ideally FINRA Series 7 License

Required Skills/Abilities:

Proficiency in Microsoft Office 365, JIRA, Zendesk, and Salesforce

Experience in metrics based, KRI/ KPI reporting for regulatory bodies and internal management

Strong interpersonal skills and experience building strong relationships with business stakeholders and engaging with teams

Excellent oral communication and writing skills, especially when interacting with executive management across multiple business groups and functions

Reading comprehension and editing abilities are imperative

An analytical mind, and the ability to work collaboratively to help solve complex problems and streamline processes

Must be a self-starter, flexible, innovative, adaptive, and able to multi-task

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

This job operates in an office environment

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

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Our Rewards

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment

We're looking for all kinds of people.

At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.

Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.

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