Senior Compliance Analyst; Regulatory

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:

• 2026, 2025, 2024, 2023 - Presented by Built In

• 2025 - Presented by US Fin Tech Awards

• 2024 - Presented by CNBC

Apex is seeking a seasoned Senior Compliance Analyst (Regulatory) to assist in the oversight and management of our compliance programs related to Broker/Dealer operations. This role reports directly to the Sr. Manager, Compliance (Regulatory), and is integral in maintaining high compliance standards in accordance with FINRA, SEC, and other regulatory body requirements. The Senior Compliance Analyst (Regulatory) will be responsible for upholding robust compliance policies, participating in regulatory examinations, and ensuring that our business processes reflect the utmost integrity and adherence to legal and regulatory frameworks.

• Regulatory Inquiries and Examinations:
  Investigate and respond to regulatory inquiries, and actively participate in regulatory examinations, ensuring all responses are timely, accurate, and comprehensive.
• Policy and Procedure Oversight:
  Maintain and enhance the firm's compliance policies and procedures, including written supervisory procedures and compliance manuals, to ensure they are comprehensive, updated, and reflective of the firm’s current business practices.
• Compliance Training and Support:
  Assist in the training and development of the back-office staff on compliance-related issues, enabling them to effectively analyze and resolve compliance matters.
• Surveillance and Reporting:
  Manage and enhance existing compliance surveillance systems, forecast needs for future enhancements, and prepare detailed management reports on the progress and status of these initiatives.
• General Compliance Tasks:
  Oversee the maintenance of required books and records and review communications and advertisements to ensure compliance with regulatory requirements.

• Bachelor’s degree in Law, Finance, Business Administration, or a related field preferred
• Minimum of 5 years in compliance roles focused on Broker/Dealer operations, with a deep understanding of relevant regulations and compliance best practices.

• Securities Licenses:
  Holding Series 7 and 24 licenses is highly preferred. Candidates without these licenses should be willing to obtain them within a set timeframe.
• Project…