Senior Compliance Analyst (Trading)

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 Senior Compliance Analyst (Trading) will perform a vital role in overseeing and ensuring adherence to regulatory requirements within our trading operations. This includes a comprehensive understanding of market infrastructures, electronic trading, and order handling. The candidate will be responsible for monitoring and analyzing trading activities to ensure compliance with TRF, MSRB, and TRACE regulations. Additionally, this role demands advanced knowledge of SEC Rules 605 and 606 concerning Best Execution practices and the ability to prepare and manage SEC ATS-N and ATS-Q documentation. This position requires strategic thinking and meticulous attention to ensure our trading practices align with legal and regulatory standards.

Duties/Responsibilities:

• Analyze and interpret trading data to ensure compliance with market regulations and company policies
• Maintain up-to-date knowledge of trading market infrastructures, electronic trading systems, and order handling processes
• Prepare, review, and submit SEC ATS-N and ATS-Q filings, ensuring accuracy and compliance with all regulatory requirements
• Advise and guide on best execution practices in accordance with SEC Rules 605 and 606
• Develop and implement compliance policies and procedures for trading operations
• Conduct regular compliance audits and prepare detailed reports on findings
• Collaborate with IT and trading teams to ensure that electronic trading platforms and technologies comply with regulatory standards
• Provide compliance training and support to trading staff

Required Skills/Abilities:

• Strong analytical skills and attention to detail
• Excellent verbal and written communication skills
• Proficient in using technology and software related to electronic trading and compliance monitoring
• Ability to handle multiple tasks and meet tight deadlines
• Strong problem-solving skills and the ability to work under pressure

Education and Experience:

• Bachelor’s degree in Finance, Law, Business Administration, or a related field
• Series 7 or 57 are required and Series 24 preferred
• Minimum of 5+ years of experience in compliance within trading environments, specifically dealing with FINRA, SEC, MSRB, and TRACE regulations
• Demonstrated experience with electronic trading systems and regulatory filing processes such as SEC ATS-N and ATS-Q
• Experience in implementing and overseeing best execution practices per SEC Rules 605 and 606

Work Environment:

• This job operates in a professional office environment but may require remote work depending on company policy
• It involves frequent interaction with trading and IT departments
• Required to meet strict deadlines and manage multiple projects simultaneously
• By offering comprehensive oversight and ensuring all trading activities comply with requisite laws and regulations, the Compliance Senior Analyst ensures the integrity and efficiency of our trading operations
• This role is crucial for maintaining the company’s reputation and adherence to regulatory standards

#compliance #mid-senior #LI-MJ1 #APEX #full-time

​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 healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS , we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

Salary Range

$88,000-$110,000

The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge, skills, experience, and office location.

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.