What are the responsibilities and job description for the Compliance Analyst (Regulatory) position at Peak6?
APEX FINTECH SOLUTIONS
DALLAS, TEXAS, UNITED STATES OF AMERICA
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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, 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
The Compliance Analyst (Regulatory) is an essential role within our Compliance Program, designed for a recent law graduate or newly licensed attorney eager to apply legal training in a dynamic regulatory environment. You will interact directly with regulators (including FINRA, the SEC, the CFTC and NFA), outside counsel, and partner with business stakeholders to document, track, and submit required information accurately and on time. The position offers a pathway to develop deep expertise in the financial services regulatory landscape while contributing to the firm’s compliance posture and operational resiliency. Success in this role requires ownership, analytical rigor, and clear communication to help the company meet its regulatory obligations and strategic objectives.
Duties/Responsibilities
Draft well-structured narrative responses and compile data to address regulatory inquiries and information requests within established deadlines.
Analyze, summarize, and communicate new or revised rules, guidance, and enforcement trends to internal stakeholders.
Support regulatory examinations by gathering, organizing, and validating requested information; maintain trackers and audit trails for submissions.
Review and interpret legal, policy, and business documents to assess compliance with applicable regulations and firm standards.
Maintain a regulatory calendar and document repository; strengthen processes, controls, and documentation standards.
Assist with special projects to enhance the Compliance Program, including process improvements, WSP development, and cross-functional initiatives.
Education and/or Experience
Juris Doctor (JD) from an accredited law school.
Bar admission in any U.S. jurisdiction (active), or candidates who have recently taken or are scheduled to take a state bar examination are encouraged to apply.
3 years of experience in the compliance functions of a broker-dealer preferred.
FINRA SIE and Series 7 preferred (or willingness to obtain).
Required Skills/Abilities
Excellent written and verbal communication skills, with the ability to translate complex legal and regulatory concepts into clear regulatory responses and practical guidance.
Strong analytical, research, and issue-spotting abilities; comfort interpreting statutes, rules, and policy documents.
Exceptional organization and attention to detail, with the ability to manage multiple priorities and meet deadlines under pressure.
Proactive, collaborative, and accountable, with sound judgment and a commitment to ethical standards.
Work Environment
This role operates in a hybrid, office environment 3 days per week.
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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 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.
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.