Senior Compliance Analyst

WHO WE ARE

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. 

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. 

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: 

Best Places to Work 

2026, 2025, 2024, 2023 - Presented by BuiltIn 

WealthTech of the Year 

2025 - Presented by US FinTech Awards 

The World’s Top 250 Fintech Companies 

2024 - Presented by CNBC 

ABOUT THIS ROLE

Our Senior Compliance Analyst will join a rapidly growing organization focused on empowering innovation, growth, and efficiency.

We’re looking for someone who:

• 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.

• Takes initiative and is a high performer - You are driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.

• Have great communication skills- Not only are you articulate when verbally communicating but you can get the message through in a written format. You also provide alternatives for peers when there is no way possible to compromise regulation requirements.   

• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks.

• Investment Securities Experience - You are organized, understand investment terminology and regulatory requirements. You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

What you’ll do all day:

• Compliance liaison - Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.

• Participate in continuous improvement projects with various teams - You will interact with multiple business units and stakeholders by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.

• Investigate regulatory inquires - One of your primary objectives will be to actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations.

• Help the company continue to meet standards - You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the sound business practices and processes.

A few reasons why you might love working here:

• Our Compliance track record.  We have an incredible Compliance track record. We foster a culture of Compliance throughout