Apex Fintech Solutions
Senior Compliance Analyst (Lending/Funding Operations)
Apex Fintech Solutions, Chicago, IL
WHO WE ARE
Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate 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:
ABOUT THIS ROLE
The Senior Compliance Analyst (Lending/Funding Operations) will partner with the business to provide advice and guidance in regard to FINRA and SEC and other applicable laws, rules, and regulations. The business roles involved include margin, stock loan, banking functions that include other lending and funding products.
The Senior Compliance Analyst will enhance and oversee the organization's compliance processes to align with strategic business objectives and their processes. This key position supports the company in maintaining its standing and reputation by ensuring that legal and regulatory codes are met systematically and efficiently.
Duties/Responsibilities:
Required Skills/Abilities:
Education and/or Experience:
#compliance #LI-MJ1 #APEX #full-time
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or 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.
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.
Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate 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 Awards
- 2021 Most Innovative Companies - presented by Fast Company
- 2021 Best API & Best Trading Technology - presented by Global Fintech Awards
ABOUT THIS ROLE
The Senior Compliance Analyst (Lending/Funding Operations) will partner with the business to provide advice and guidance in regard to FINRA and SEC and other applicable laws, rules, and regulations. The business roles involved include margin, stock loan, banking functions that include other lending and funding products.
The Senior Compliance Analyst will enhance and oversee the organization's compliance processes to align with strategic business objectives and their processes. This key position supports the company in maintaining its standing and reputation by ensuring that legal and regulatory codes are met systematically and efficiently.
Duties/Responsibilities:
- Partner with business units and operational leaders to embed compliance initiatives seamlessly into all facets of the organization
- Conduct regular risk assessments, ensuring all areas operate in alignment with the latest regulations
- Advise and update management and staff on changes in regulatory landscapes and the implications for company practices and procedures
- Perform training sessions for employees on compliance-related topics to enhance awareness and understanding across the company
- Manage the preparation and documentation of compliance guidance documents for internal and external use
- Provide guidance on any business objectives to ensure ongoing regulatory compliance
Required Skills/Abilities:
- Excellent knowledge of industry-specific regulations and standards
- Strong analytical skills to evaluate complex information and regulatory requirements
- Superior leadership and interpersonal skills to effectively communicate with and influence peers, leadership, and external bodies
Education and/or Experience:
- Bachelor's degree in Law, Finance, Business Administration or a related field
- Minimum of 5 years of experience in compliance roles within the relevant industry
- FINRA Series 7 or 99 required with willingness to obtain Series 24
- In depth knowledge of applicable SEC and FINRA rules associated with margin, stock loan, banking functions
#compliance #LI-MJ1 #APEX #full-time
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or 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.
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.