Senior Regulatory Compliance Analyst (Broker/Dealer)

Peak6 Investments LLC; Dallas (TX); Hybrid; USD 120,000 - 150,000; Full time

Benefits offered by this job

Healthcare benefits

401(k) match

Hybrid work schedule

Tuition reimbursement

Job summary

Apex Fintech Solutions is seeking a seasoned Senior Compliance Analyst (Regulatory) to support oversight of our Broker/Dealer compliance programs. You will help maintain regulatory readiness, respond to inquiries, and ensure adherence to FINRA, SEC, and other requirements.

The ideal candidate has a bachelor’s degree in a related field and at least five years in compliance, with licenses (Series 7 and 24) preferred.

Qualifications

• 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 regulations and best practices.

Responsibilities

• Investigate and respond to regulatory inquiries and participate in examinations.
• Maintain and enhance compliance policies and procedures including supervisory procedures and manuals.
• Assist in training back-office staff on compliance issues.
• Manage and enhance compliance surveillance systems and prepare detailed reports.

Skills

Analytical Skills

Interpersonal Skills

Problem Solving

Detail-Oriented

Organizational Skills

Technical Proficiency

Resource Allocation

Professional Standards

Education

Bachelor's degree in Law, Finance, Business Administration, or related field

5+ years in compliance roles (Broker/Dealer)

Job description

Apex Fintech Solutions is seeking a seasoned Senior Compliance Analyst (Regulatory) to support oversight of our Broker/Dealer compliance programs. You will help maintain regulatory readiness, respond to inquiries, and ensure adherence to FINRA, SEC, and other requirements.

The ideal candidate has a bachelor’s degree in a related field and at least five years in compliance, with licenses (Series 7 and 24) preferred.