Peak6 Investments LLC
Compliance Officer (Regulatory)
Peak6 Investments LLC, County Line, Alabama, United States,
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.ABOUT THIS ROLEWe are currently seeking an experienced
Compliance Officer (Regulatory)
to oversee our organization's regulatory compliance functions which include exam management, regulatory change management, and risk corrective action plans. The successful candidate will be responsible for ensuring that all company operations are conducted in compliance with ethical practices, legal standards, and regulatory requirements.
Key Responsibilities:Monitor and analyze regulatory updates and changes to ensure all compliance policies and procedures are up-to-date.Direct the preparation and submission of regulatory filings and reports with appropriate agencies.Manage the response to regulatory inquiries and inspections, and oversee the resolution of compliance issues.Prepare and present clear and detailed compliance status reports to senior management and relevant committees.Required Skills:Strong leadership and managerial skills to lead the compliance team effectively.Excellent communication skills, both written and verbal, to articulate complex compliance issues clearly.Detailed understanding of the regulatory environment and ability to interpret and apply regulatory standards.Proven analytical and problem-solving skills to effectively handle compliance issues.High degree of professional ethics and integrity.Strong organizational skills with the ability to manage multiple priorities and tasks simultaneously.Education and/or Experience:Bachelor’s degree in Law, Business Administration, Finance, or a related field is required.Advanced degree (e.g., JD, MBA) preferred.Minimum of 8-10 years of experience in a compliance role within a regulated industry, with significant exposure to exam management, regulatory change management, and risk corrective action plans.FINRA Series 7 license required and willingness to obtain a Series 24.Proven track record of successfully managing comprehensive compliance programs.Previous experience with regulatory bodies and knowledge of their processes is highly desirable.Our RewardsWe 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) CommitmentWe'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
Compliance Officer (Regulatory)
to oversee our organization's regulatory compliance functions which include exam management, regulatory change management, and risk corrective action plans. The successful candidate will be responsible for ensuring that all company operations are conducted in compliance with ethical practices, legal standards, and regulatory requirements.
Key Responsibilities:Monitor and analyze regulatory updates and changes to ensure all compliance policies and procedures are up-to-date.Direct the preparation and submission of regulatory filings and reports with appropriate agencies.Manage the response to regulatory inquiries and inspections, and oversee the resolution of compliance issues.Prepare and present clear and detailed compliance status reports to senior management and relevant committees.Required Skills:Strong leadership and managerial skills to lead the compliance team effectively.Excellent communication skills, both written and verbal, to articulate complex compliance issues clearly.Detailed understanding of the regulatory environment and ability to interpret and apply regulatory standards.Proven analytical and problem-solving skills to effectively handle compliance issues.High degree of professional ethics and integrity.Strong organizational skills with the ability to manage multiple priorities and tasks simultaneously.Education and/or Experience:Bachelor’s degree in Law, Business Administration, Finance, or a related field is required.Advanced degree (e.g., JD, MBA) preferred.Minimum of 8-10 years of experience in a compliance role within a regulated industry, with significant exposure to exam management, regulatory change management, and risk corrective action plans.FINRA Series 7 license required and willingness to obtain a Series 24.Proven track record of successfully managing comprehensive compliance programs.Previous experience with regulatory bodies and knowledge of their processes is highly desirable.Our RewardsWe 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) CommitmentWe'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