Peak6group
Senior Compliance Analyst
Dallas, TX · Senior · Full-time
Sponsorship not specifiedDetected 30 days ago
CommunicationProblem SolvingTime Management
About the role
- Our Senior Compliance Analyst will join a rapidly growing organization focused on empowering innovation, growth, and efficiency.
- Thinks strategically and is inquisitive - You are intellectually curious and love finding and solving challenges with creative and simple solutions.
- You find ways to get things done efficiently without sacrificing quality.
Responsibilities
- 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.
- When you're at Apex, you drive this change.
Requirements
- In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations.
Nice to have
- Minimum of 5+ years of experience in the compliance functions of a broker-dealer.
- Correspondent Clearing experience strongly preferred.
Skills
- Bachelor's degree and/or associate's degree plus equivalent combination of education, additional certification, and/or experience.
- Minimum of 5+ years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred.
- FINRA Series 7.
- Ability to successfully complete the Series 24 examination.
- Exceptional interpersonal and written communication skills.
- Highly motivated with capability to work with minimum supervision on a wide range of matters.
- Demonstrated ability to meet deadlines and extraordinary attention to detail.
- Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills.
- Thinks strategically and is inquisitive
Company info
- 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.
- 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.
- 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.
- Win together.
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