Senior Compliance Analyst (Personal Trading & Licensing/Registrations)

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

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.

At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex.

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received.

Best Places to Work

2026, 2025, 2024, 2023- Presented by BuiltIn

WealthTech of the Year

2025- Presented by US FinTech Awards

The World’s Top 250 Fintech Companies

2024- Presented by CNBC

ABOUT THIS ROLE

The Senior Compliance Analyst (Personal Trading & Licensing/Registrations) provides U.S.-business-hours coverage, regulatory knowledge, securities-market experience, employee interaction, and first-level compliance judgment for the Firm’s Personal Trading and Licensing & Registrations programs.

The role is responsible for managing and resolving employee-specific, time-sensitive, unusual, or higher-risk matters that require substantive compliance review, U.S. securities-market knowledge, regulatory research, policy application, or interaction with employees, managers, brokers, regulators, vendors, and internal stakeholders. The Senior Compliance Analyst reviews and resolves exceptions within delegated authority and escalates complex regulatory interpretations, material violations, significant disclosure matters, policy exceptions, and other higher-risk matters to the Compliance Manager, Chief Compliance Officer, Legal, or other appropriate stakeholders.

The role also provides U.S.-based oversight, quality control, guidance, and escalation support for the established, process-driven Personal Trading and Licensing & Registrations workflows performed by the Manila team. The Manila team performs standardized processing, monitoring, reconciliation, tracking, documentation, and reporting activities in accordance with approved procedures; the U.S.-based Senior Compliance Analyst provides subject-matter support and makes the compliance determinations that require professional judgment.

The successful candidate will operate independently, exercise sound judgment, maintain audit-ready documentation, manage confidential information with discretion, and partner effectively with Compliance, Human Resources, Legal, Talent Acquisition, Operations, Technology, employees, managers, and business stakeholders.

Key Responsibilities

Personal Trading and Employee Compliance

• Provide timely U.S.-business-hours support to employees and managers regarding Personal Trading requirements, brokerage accounts, reportable securities, managed accounts, account disclosures, preclearance, holdings reporting, transaction reporting, certifications, and related obligations.
• Review and respond to time-sensitive trade-preclearance requests so that employees may execute approved transactions while applicable markets are open.
• Review securities transactions and apply Personal Trading requirements based on the underlying security, transaction type, trading activity, holding-period requirements, restricted-list or watch-list implications, preclearance requirements, and other applicable Firm policies and procedures.
• Research securities, issuers, transaction types, and trading issues requiring knowledge of U.S. securities markets and Personal Trading requirements.
• Review potential Personal Trading exceptions, policy violations, late disclosures, restricted-security issues, missing account information, and other higher-risk matters. Document findings, determine appropriate next steps within delegated authority, and elevate material, complex, or unresolved matters to the Compliance Manager or other appropriate stakeholders.
• Respond to employee and manager questions requiring policy application, interpretation, substantive analysis, exception review, or U.S.-hours issue resolution.
• Assist with employee disclosure matters, including Outside Business Activities (“OBAs”) and private investments, when employee interaction, research, first-level analysis, or escalation is required.
• Communicate with brokers, broker-dealers, custodians, employees, managers, MyComplianceOffice (“MCO”), and other internal or external parties to resolve Personal Trading issues requiring U.S.-hours contact or substantive review.
• Troubleshoot account feeds, brokerage connections, transaction information, reporting issues, and other Personal Trading matters that cannot be resolved through routine Manila processing.
• Review case files, exception reports, research and supporting information prepared by the Manila team; provide direction, determine disposition, and ensure appropriate documentation and escalation.
• Provide guidance, quality control, and escalation support to the Manila team for Personal Trading workflows, including MCO queues, account monitoring, transaction-feed reconciliation, certifications, documentation, tracking, and reporting.

Licensing, Registrations, and Examinations

• Serve as the U.S.-hours point of contact for employees and managers regarding licensing, registration, qualification examinations, fingerprinting, continuing education, and licensing-related training requirements.
• Manage employee licensing and registration matters requiring substantive review, U.S.-hours employee interaction, regulatory or vendor contact, research, issue resolution, or escalation.
• Discuss licensing and registration requirements associated with employee roles, new hires, internal transfers, role changes, changes in responsibilities, and employee separations.
• Perform first-level substantive review of licensing requests, registration matters, Forms U4 and U5, disclosures, examination issues, and other employee-specific matters. Identify matters requiring review or determination by the Compliance Manager, Chief Compliance Officer, Legal, or other stakeholders.
• Process, review, and maintain FINRA WebCRD filings, including Forms U4 and U5, amendments, registration maintenance, and related filing workflows as assigned and in accordance with established approvals and procedures.
• Coordinate with FINRA, NFA, state regulators, testing vendors, fingerprinting vendors, Human Resources, Talent Acquisition, and other internal or external partners when matters cannot be resolved through established workflows.
• Research licensing and registration questions and apply Firm procedures and established regulatory guidance to routine employee-specific situations. Escalate regulatory interpretation questions, policy exceptions, material disclosures, significant registration issues, and other higher-risk matters as appropriate.
• Review and resolve matters involving incomplete registration submissions, missed deadlines, examination failures, retake periods, registration gaps, potential lapses, late filings, or other licensing deficiencies.
• Provide U.S.-hours oversight and escalation support for licensing and registration workflows processed by the Manila team, including examination-window requests, fingerprinting, routine U4/U5 workflow preparation, registration tracking, reconciliations, documentation, and employee follow-up.
• Maintain an accurate licensing and registration matrix reflecting employee registration status, qualifications, examinations, jurisdictions, deadlines, continuing-education requirements, and required actions.

Continuing Education, Training, Attestations, and Reporting

• Monitor and oversee FINRA continuing education, NFA training requirements, Firm-required licensing training, qualification requirements, and related employee attestations.
• Review and resolve employee-specific exceptions, overdue requirements, extensions, remediation matters, and other issues