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.

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

• 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.
• Has great communication skills - You are articulate when verbally communicating and can convey the message in written format, providing alternatives for peers when regulation requirements cannot be compromised.
• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure team success; your contributions are not limited to your assigned tasks.
• Has investment securities experience - You are organized, understand investment terminology and regulatory requirements, and know the importance of creating a culture of compliance by interacting with other departments to ensure compliance with FINRA regulations and maintaining firm integrity.

• 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 – Interact with multiple business units and stakeholders, providing guidance on day‑to‑day compliance functions to ensure ongoing awareness of regulatory updates and changes.
• Investigate regulatory inquiries – Actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations.
• Help the company continue to meet standards – Ensure applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect sound business practices and processes.

• Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification, and/or experience.
• Minimum of 5+ years of experience in the compliance functions of a broker‑dealer. Correspondent Clearing experience strongly preferred.
• FINRA Series 7.
• Ability to successfully complete the Series 24 examination.
• In-depth knowledge of applicable SEC and FINRA rules and ability to interact with several SRO compliance counterparts on regulatory inquiries and examinations.
• Exceptional interpersonal and written communication skills.
• Highly motivated with capability to work with minimum supervision on a wide range of matters.
• Demonstrated ability to meet deadlines and extraordinary attention to detail.
• Ability to prioritize and multi‑task effectively under pressure and excellent organizational and time‑management skills.
• Demonstrated proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency, automate routine administrative processes, and eliminate time‑consuming manual tasks, thereby enabling greater focus on high‑value strategic activities and client service delivery.
• Ability to exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem‑solving, and unwavering commitment to excellence in all interactions and deliverables.
• Ability to exercise exceptional stewardship over all firm resources—including financial assets, technology systems, office facilities, and staff…