Senior Compliance Analyst: Personal Trading & Licensing

Peak6 Investments LLC; Dallas, Northern (TX, KY); Hybrid; USD 90,000 - 130,000; Full time

Job summary

Apex Fintech Solutions seeks a Senior Compliance Analyst (Personal Trading & Licensing/Registrations) to cover U.S. business hours, applying regulatory knowledge and securities-market experience to employee-related compliance matters.

The role involves reviewing exceptions, coordinating with brokers and internal stakeholders, and guiding the Manila team in Personal Trading workflows while maintaining audit-ready documentation.

Qualifications

• Senior Compliance Analyst provides U.S.-business-hours coverage and regulatory knowledge.
• Role requires securities-market experience and interaction with employees and managers.
• First-level compliance judgment is performed with escalation when needed.

Responsibilities

• Provide timely U.S.-business-hours support to employees and managers regarding Personal Trading requirements.
• Review and respond to time-sensitive trade-preclearance requests.
• Review securities transactions and apply Personal Trading requirements per policy.
• Research securities and trading issues requiring knowledge of U.S. markets.
• Document findings and escalate material or complex matters as needed.
• Support Manila team by providing guidance on Personal Trading workflows.

Skills

Regulatory knowledge

Securities-market knowledge

U.S.-hours availability

Employee interaction

Job description

Apex Fintech Solutions seeks a Senior Compliance Analyst (Personal Trading & Licensing/Registrations) to cover U.S. business hours, applying regulatory knowledge and securities-market experience to employee-related compliance matters.

The role involves reviewing exceptions, coordinating with brokers and internal stakeholders, and guiding the Manila team in Personal Trading workflows while maintaining audit-ready documentation.