Senior Compliance Analyst (Regulatory)

PEAK6; Dallas (TX); Hybrid; USD 90.000 - 140.000; Vollzeit

Benefits dieser Stelle

Healthcare benefits

Paid time off

401k match

Parental leave

HSA contribution match

Calm app subscription

Tuition reimbursement

Hybrid work schedule

Zusammenfassung

Apex Fintech Solutions is seeking a seasoned Senior Compliance Analyst (Regulatory) to support broker/dealer compliance programs. You will report to the Sr. Manager, Compliance (Regulatory) and ensure adherence to FINRA, SEC, and other regulators.

The role emphasizes robust policy implementation and regulatory examinations. The candidate should bring 5+ years in broker/dealer compliance, with licenses such as Series 7/24 preferred.

Qualifikationen

• Bachelor’s degree in Law, Finance, Business Administration, or related field.
• Minimum 5 years in compliance roles focused on Broker/Dealer operations.
• Securities licenses (Series 7 and 24) preferred; willingness to obtain if needed.

Aufgaben

• Regulatory inquiries and examinations: respond timely and accurately.
• Policy and procedure oversight: maintain and update compliance manuals.
• Compliance training and support: educate back-office staff on regulatory issues.
• Surveillance and reporting: enhance surveillance systems and produce management reports.
• General compliance tasks: maintain books and records and review communications for regulatory compliance.

Kenntnisse

Regulatory inquiries

Policy oversight

Training & support

Surveillance & reporting

Regulatory communications

Ausbildung

Bachelor’s degree in Law, Finance, Business Administration

Tools

Office software

AI applications

Jobbeschreibung

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.

Who We Are

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

Apex is seeking a seasoned Senior Compliance Analyst (Regulatory) to assist in the oversight and management of our compliance programs related to Broker/Dealer operations. This role reports directly to the Sr. Manager, Compliance (Regulatory), and is integral in maintaining high compliance standards in accordance with FINRA, SEC, and other regulatory body requirements. The Senior Compliance Analyst (Regulatory) will be responsible for upholding robust compliance policies, participating in regulatory examinations, and ensuring that our business processes reflect the utmost integrity and adherence to legal and regulatory frameworks.

Key Responsibilities

• Regulatory Inquiries and Examinations: Investigate and respond to regulatory inquiries, and actively participate in regulatory examinations, ensuring all responses are timely, accurate, and comprehensive.


• Policy and Procedure Oversight: Maintain and enhance the firm's compliance policies and procedures, including written supervisory procedures and compliance manuals, to ensure they are comprehensive, updated, and reflective of the firm’s current business practices.


• Compliance Training and Support: Assist in the training and development of the back-office staff on compliance-related issues, enabling them to effectively analyze and resolve compliance matters.


• Surveillance and Reporting: Manage and enhance existing compliance surveillance systems, forecast needs for future enhancements, and prepare detailed management reports on the progress and status of these initiatives.


• General Compliance Tasks: Oversee the maintenance of required books and records and review communications and advertisements to ensure compliance with regulatory requirements.

Education and Experience

• Bachelor’s degree in Law, Finance, Business Administration, or a related field preferred


• Minimum of 5 years in compliance roles focused on Broker/Dealer operations, with a deep understanding of relevant regulations and compliance best practices.

Preferred Qualifications

• Securities Licenses: Holding Series 7 and 24 licenses is highly preferred. Candidates without these licenses should be willing to obtain them within a set timeframe.


• Project Management Skills: Demonstrated ability to manage multiple projects with stringent deadlines and to maintain high-quality standards in a dynamic regulatory environment.

Work Environment

• Analytical Skills: Excellent ability to analyze complex regulatory requirements and implement effective compliance strategies.


• Interpersonal Skills: Superior relationship-building and communication skills, with the ability to collaborate and influence across all organizational levels with senior leaders and staff to review and address compliance matters while maintaining a professional, consultative presence.


• Problem Solving: Strong problem-solving skills, with the capacity to address and manage compliance issues proactively.


• Detail-Oriented: Exceptional attention to detail and the capacity to work on intricate matters with precision.


• Organizational Skills: Robust organizational and time management abilities, essential for managing multiple tasks and priorities in a high-pressure environment.


• Technical Proficiency: Proficient in office software and AI applications, with enthusiasm for leveraging AI to automate routine tasks, advance firm initiatives, manage electronic records and compliance monitoring tools and optimize workflows—freeing time for high-value strategic work and client service.


• Resource Allocation: Exceptional stewardship over all firm resources—including financial assets, technology systems, office facilities, and staff time—through sustainable practices that protect and enhance long-term organizational value.


• Professional Standards: Ability to exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem-solving, and unwavering commitment to excellence in all interactions and deliverables.

#compliance #mid-senior #fulltime # APEX

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, and 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.