Senior Compliance Analyst

Apex Fintech Solutions

Apex Fintech Solutions (Apex) is a technology company powering digital wealth management platforms, supporting clients such as Stash, Betterment, SoFi, Webull, and eToro. We provide software that enables access to financial markets for millions of customers.

We are looking for a Senior Compliance Analyst to join our growing organization focused on innovation and efficiency.

• Provide general regulatory and compliance updates for multiple business lines.
• Participate in continuous improvement projects with various teams, offering guidance on day‑to‑day compliance functions.
• Respond to regulatory inquiries and participate in examinations.
• Ensure policies and procedures, including supervisory procedures, are comprehensive, robust, and current.

• Bachelor’s or associate’s degree plus equivalent education, certification, or experience.
• Minimum 5+ years of compliance experience in a broker‑dealer environment. Correspondent Clearing experience preferred.
• FINRA Series 7 and ability to complete the Series 24 examination.
• In‑depth knowledge of SEC and FINRA rules and experience interacting with SRO compliance counterparts.
• Exceptional written and verbal communication skills.
• Highly motivated, capable of working independently, and able to meet deadlines under pressure.
• Proficiency with artificial intelligence tools to optimize workflow.
• Strong ethical conduct and stewardship of firm resources.

• Strong culture of compliance and continuous improvement.
• Collaborative team that values innovation and growth.
• Opportunities for career advancement at a mid‑sized firm.

• Requires acceptance of frequent challenges and rapid change.
• Needs a collaborative mindset rather than solely independent work.

We offer a comprehensive benefits package including healthcare (medical, dental, vision, EAP), competitive paid time off, 401(k) match, parental leave, HSA contribution match, access to a Calm app subscription, learning and tuition reimbursement, and a hybrid work schedule.

Apex Fintech Solutions is an equal‑opportunity employer that does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, veteran status, or any other protected characteristic.

Apex Fintech Solutions is committed to an inclusive workplace for all candidates, including those with disabilities. Reasonable accommodations will be provided upon request.