Senior Compliance Analyst

4 weeks ago

Dallas, Texas, United States Apex Fintech Services LLC Full time
About This Role

The Senior Compliance Analyst (Regulatory Requests) plays a key role within our Compliance Program at Apex Fintech Services LLC. This position requires interacting with both regulators (FINRA, SEC, etc.) and key business stakeholders to document, track and submit documentation and data in a timely manner.

Key Responsibilities:
  • Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines
  • 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
  • Actively participate in responding to various types of regulatory inquires and participating in regulatory examinations
  • Ensure that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firms business practices and processes

Requirements:
  • Strong interpersonal and written communication skills
  • 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
  • A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives

What 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
  • A paid subscription to the Calm app and generous external learning and tuition reimbursement benefits
  • A hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices

About Us:

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.

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.

We're committed to being an equal opportunity employer and 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.

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