Trade Surveillance Analyst

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

Our Trade Surveillance Analyst will join the Compliance team of a rapidly growing organization focused on empowering innovation, growth, and efficiency.

We’re looking for someone who:

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.

Have great communication skills - Not only are you articulate when verbally communicating but you can get the message through in a written format.  You also provide alternatives for peers when there is no way possible to compromise regulation requirements.  

Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks.

Securities Investment Experience - You are organized and understand investment terminology and regulatory requirements.  You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

Working Environment:

• This job operates in a US Hours Shift (CST/EST) and remote environment.

What you’ll do all day:

• Analyze trade activity of retail and institutional brokerage clients, as well as registered investment advisors, to identify and/or prevent market manipulation and market abuse including but not limited to insider trading, ramping, spoofing/layering, etc...
• Investigate suspicious trade activity or patterns of unusual trading as appropriate for equity, options, and futures securities transactions
• Consistently communicate with correspondent firms to provide education on current trends and best practices
• Research, analyze, and interpret current, new, and proposed trade monitoring related regulatory requirements to determine the impact to current processes and procedures
• Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices in relation to trade surveillance
• Participate in regulatory and internal audits involving trade surveillance related matters when needed
• Must be willing to work during United States securities market hours. Generally, 0800 to 1630 CST

The skills you’ll need to succeed:   

• 3+ years of experience in the trade surveillance functions for a retail and/or institutional broker-dealer (Correspondent Clearing experience strongly preferred)
• In depth knowledge of applicable SEC and FINRA trade regulations that apply to a Correspondent Clearing Firm
• FINRA Series 7 required; Series 3 is a plus
• Familiarity with Surveyor or other third-party trade monitoring systems is a plus
• Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification and/or experience
• Strong interpersonal and written communication skills
• Highly motivated with capability to work with minimum supervision on a wide range of matters
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
• Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

​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.

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.