Compliance Analyst, Policy

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. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, 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

Job Summary:
The Compliance Analyst, Policy at Apex Fintech Solutions (AFS) plays a crucial role in upholding compliance across the organization and its subsidiaries through a robust Compliance Management Program. This role focuses on ensuring that all policies and procedures documentation meet stringent regulatory standards and corporate expectations for clarity and relevance. As a key contributor to the second line of defense, the analyst is actively involved in developing and implementing policies and guiding the firm's governance initiatives. By collaborating with internal partners, the analyst aids in fostering a culture of comprehensive compliance risk management.

Duties/Responsibilities:
- Collaborate with business leaders to develop, write, and update policy and control documentation to align with regulatory mandates.
- Support the administration of the Apex Policy Governance process, ensuring effective communication of changes and the establishment of best practices.
- Assist in the development of business procedures and maintain rigorous governance according to compliance standards.
- Work alongside the Compliance Program Testing team and Enterprise Risk to coordinate remediation plans and assess the impact of new initiatives on existing policies.
- Engage with key stakeholders firm-wide to provide guidance on creating and updating procedure guides, ensuring consistency and compliance with established policies.
- Analyze data and facts to develop logical solutions, research discrepancies, and formulate recommendations that support strategic business decisions.

Required Skills/Abilities:
- Excellent oral and written communication skills, capable of clearly presenting complex compliance issues across all levels of the organization.
- Strong interpersonal skills, with a proven ability to build and maintain relationships with both executive and non-executive stakeholders.
- Highly organized and detail-oriented, with an aptitude for prioritizing and multitasking in high-pressure environments.

Education and/or Experience:
- Bachelor's Degree or equivalent work experience required.
- Juris Doctorate or equivalent preferred.
- 3-5 years of experience in Compliance, Legal, or Regulatory roles within the financial services industry, preferably in clearing/custodian services.
- Demonstrable experience in writing, managing, and implementing policy management programs.

Work Environment:
- This position operates in a fast-paced, office environment that requires a detailed understanding of compliance and regulatory standards.
- Interaction with multiple teams across the firm to ensure a unified approach to compliance and risk management.

Work Setup:

- Hybrid 2x in a week reporting at BGC, Office (4th Ave)

- Monday - Friday (Flexible Dayshift)

​Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Our Rewards

We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 20 days of vacation leave plus regular and special non-working holidays, and a training and development budget. Our benefits also cover private health insurance for medical and dental, as well as life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly team lunch-outs, unlimited drinks and snacks, and company recognition & rewards.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.