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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, 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
Maintains certain vendor relationships
Education and/or Experience:
Bachelor's Degree or equivalent work experience
1 - 3 years of Compliance, Legal, Regulatory, or Financial Services experience
FINRA Series 7 License required
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
Work Environment:
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.
#compliance #associate #full-time #LI-MJ1 #APEX
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
At Apex, we embrace diversity and are dedicated to creating an inclusive and equitable workplace. 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. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
Full Time
$85k-107k (estimate)
03/08/2024
06/04/2024
peak6.com
CHICAGO, IL
200 - 500
1997
Private
MATTHEW HULSIZER
$500M - $1B
PEAK6 is a private equity firm that focuses on investing in technology-based startup companies.
The job skills required for COMPLIANCE ANALYST (SALES PRACTICE) include Microsoft Office, Attention to Detail, Financial Services, Commitment, Trading, Compliance Management, etc. Having related job skills and expertise will give you an advantage when applying to be a COMPLIANCE ANALYST (SALES PRACTICE). That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by COMPLIANCE ANALYST (SALES PRACTICE). Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for COMPLIANCE ANALYST (SALES PRACTICE) positions, which can be used as a reference in future career path planning. As a COMPLIANCE ANALYST (SALES PRACTICE), it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary COMPLIANCE ANALYST (SALES PRACTICE). You can explore the career advancement for a COMPLIANCE ANALYST (SALES PRACTICE) below and select your interested title to get hiring information.
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