Senior Compliance Analyst (Sales Practice)

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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila.

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

We 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, electronic communications compliance, and regulatory reviews of marketing and advertising material. 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 materials and communications reviews, and delivering timely compliance guidance 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.

• General Regulatory Compliance Support: Provide compliance guidance and advice to the Business groups, 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.

• Electronic Communications Compliance: Review and maintain electronic correspondence as required under industry books and records laws, rules, and regulations.

• Continuous Improvement: Update and maintain compliance policies and procedures to improve efficiency and effectiveness of the compliance program.

Experience and/or Education

• Bachelor’s Degree in Law, Business Administration, Finance, or related field (or equivalent work experience) required

• 3+ years in compliance roles, with a demonstrated track record in sales practice compliance within a regulated industry

• FINRA Series 7 and 24 license(s) required (or willingness to obtain within 90 days)

• Proven experience in providing compliance oversight to marketing and client advisory functions is particularly valuable

Required Skills/Abilities

• 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.

Work Environment

• This job operates in a hybrid, office environment 3 days per week

#compliance #associate #full-time #LI-MJ1 #APEX

​Please note this job description is not designed to cover or contain a comprehensive listing