Apex Fintech Solutions LLC
Senior Compliance Analyst (Sales Practice)
Apex Fintech Solutions LLC, Portland, Texas, United States, 78374
Apex enables modern investing and wealth management tools through an ecosystem of frictionless platforms, APIs, and services.Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, simplifying, automating, and facilitating access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers.Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Portland, and Belfast.If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you.AFS has received a number of prestigious industry awards, including:2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards2021 Most Innovative Companies - presented by Fast Company2021 Best API & Best Trading Technology - presented by Global Fintech AwardsABOUT THIS ROLEWe are seeking a
Senior Compliance Analyst
specialized in Sales Practice Compliance to join our dynamic team. The ideal candidate will play a critical role in overseeing compliance across various facets of our business operations including new ventures, client onboarding, and internal advisory services. This position requires a proactive approach to ensuring all business activities adhere to legal standards and company policies, particularly in reviewing new businesses and products, assisting with new client onboarding, providing support for marketing and communications materials, and delivering timely compliance advice to internal teams.Key Responsibilities:Review and Approve New Businesses and Products:
Ensure all new business and product initiatives comply with regulatory requirements and industry standards.Client Onboarding:
Assist with the onboarding process for new clients, ensuring compliance frameworks are properly implemented and regulatory obligations are fulfilled.Advisory Support:
Provide compliance guidance and advice to the advisory business, helping to navigate and resolve compliance issues as they arise.Internal Support:
Act as the primary compliance point of contact for internal client-facing teams, handling inquiries and providing advice on compliance matters.Review Marketing Materials:
Evaluate marketing and communication content to ensure they are in line with compliance standards and regulatory expectations.Continuous Improvement:
Update and maintain compliance policies and procedures to improve efficiency and effectiveness of the compliance program.Required Skills:Strong Analytical Skills:
Ability to analyze and interpret regulatory guidelines and apply them effectively to business practices.Communication Skills:
Excellent verbal and written communication skills, with the ability to clearly convey compliance requirements to diverse audiences.Problem Solving Skills:
Proactive in identifying and resolving compliance issues, with a keen attention to detail.Leadership and Teamwork:
Capability to lead and work collaboratively within cross-functional teams.Ethical Judgment and Integrity:
Aptitude for making principled decisions and adhering to ethical compliance standards.Education and Experience:Bachelor’s Degree:
Required, preferably in Law, Business Administration, or related field.Advanced Degree:
In Law, Compliance, or Business (e.g., JD, MBA) is preferred.Licensing:
FINRA Series 7 required, and a willingness to obtain a Series 24.Experience:
Minimum of 5 years in compliance roles, with a demonstrated track record in sales practice compliance within a regulated industry.Proven experience in providing compliance oversight to marketing and client advisory functions is particularly valuable.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.Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment:We're looking for all kinds of people. At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.Apex is committed to being an equal opportunity employer.
We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.
Know your rights: workplace discrimination is illegal.
We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
#J-18808-Ljbffr
Senior Compliance Analyst
specialized in Sales Practice Compliance to join our dynamic team. The ideal candidate will play a critical role in overseeing compliance across various facets of our business operations including new ventures, client onboarding, and internal advisory services. This position requires a proactive approach to ensuring all business activities adhere to legal standards and company policies, particularly in reviewing new businesses and products, assisting with new client onboarding, providing support for marketing and communications materials, and delivering timely compliance advice to internal teams.Key Responsibilities:Review and Approve New Businesses and Products:
Ensure all new business and product initiatives comply with regulatory requirements and industry standards.Client Onboarding:
Assist with the onboarding process for new clients, ensuring compliance frameworks are properly implemented and regulatory obligations are fulfilled.Advisory Support:
Provide compliance guidance and advice to the advisory business, helping to navigate and resolve compliance issues as they arise.Internal Support:
Act as the primary compliance point of contact for internal client-facing teams, handling inquiries and providing advice on compliance matters.Review Marketing Materials:
Evaluate marketing and communication content to ensure they are in line with compliance standards and regulatory expectations.Continuous Improvement:
Update and maintain compliance policies and procedures to improve efficiency and effectiveness of the compliance program.Required Skills:Strong Analytical Skills:
Ability to analyze and interpret regulatory guidelines and apply them effectively to business practices.Communication Skills:
Excellent verbal and written communication skills, with the ability to clearly convey compliance requirements to diverse audiences.Problem Solving Skills:
Proactive in identifying and resolving compliance issues, with a keen attention to detail.Leadership and Teamwork:
Capability to lead and work collaboratively within cross-functional teams.Ethical Judgment and Integrity:
Aptitude for making principled decisions and adhering to ethical compliance standards.Education and Experience:Bachelor’s Degree:
Required, preferably in Law, Business Administration, or related field.Advanced Degree:
In Law, Compliance, or Business (e.g., JD, MBA) is preferred.Licensing:
FINRA Series 7 required, and a willingness to obtain a Series 24.Experience:
Minimum of 5 years in compliance roles, with a demonstrated track record in sales practice compliance within a regulated industry.Proven experience in providing compliance oversight to marketing and client advisory functions is particularly valuable.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.Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment:We're looking for all kinds of people. At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.Apex is committed to being an equal opportunity employer.
We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.
Know your rights: workplace discrimination is illegal.
We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
#J-18808-Ljbffr