Overview
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 fintech solutions support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers. We foster an environment where fintech ideas can change the world, with offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila.
If you are seeking a fast-paced and entrepreneurial environment where you can make an immediate impact, this is the place for you.
Job Summary
The Compliance Analyst, Regulatory, plays a key role within our Compliance Program. This role requires interacting with regulators (FINRA, SEC, etc.) and key business stakeholders to document, track, and submit documentation and data in a timely manner, and to support the Firm’s trade reporting team. The ideal candidate demonstrates ownership, accountability, and expertise, ensuring operational resiliency standards are consistently met.
Duties/Responsibilities
* Provide general regulatory and other compliance-related updates to ensure continued rule compliance for multiple business lines.
* Interact with Operations and other business units, guiding day-to-day compliance functions to stay current with regulatory updates and changes.
* Respond to regulatory inquiries and participate in regulatory examinations.
* Submit various regulatory reports to appropriate regulators for processing.
* Integrate low code/no code solutions to support the team, including Microsoft SQL and/or Google Looker.
* Ensure applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s practices.
Required Skills/Abilities
* Strong interpersonal and written communication skills.
* Proactive with demonstrated ability to meet deadlines and exceptional attention to detail.
* Ability to prioritise and multi-task effectively under pressure with excellent organizational and time management skills.
* Critical thinker and problem solver with ability to understand details while remaining aligned with program objectives.
* Knowledge of operations, workflows, and the regulatory landscape within custody and clearing firms (preferable).
* Data analysis proficiency and ability to write scripts to gather data.
Education and/or Experience
* Bachelor’s degree and/or associate’s degree plus equivalent combination of education, certification, and/or experience.
* Minimum 3-5 years of experience in the compliance functions of a broker-dealer; corresponding clearing experience strongly preferred.
* FINRA SIE and Series 7 preferred (or willingness to obtain them).
Work Environment
* Hybrid office environment, 3 days per week.
Our Rewards
We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 28 days of annual leave plus 10 Northern Ireland national holidays, a training and development budget, and a pension matched up to 7%. Benefits also cover private health insurance, life insurance, flexible working hours, and a hybrid schedule. Perks include monthly catered lunches, unlimited drinks and snacks, hackathon events, poker tournaments, and a charitable matching gift program.
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. 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.
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