Senior Compliance Analyst (RCM/Remediation)

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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, 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

We are seeking a highly motivated and experienced Senior Compliance Analyst (RCM/Remediation) to lead and execute regulatory change management activities as part of our Compliance Program. This second line of defense (2LOD) role is responsible for maintaining an enterprise-wide regulatory change framework that monitors, assesses, documents, and operationalizes federal regulatory developments.  Also, would follow up and lead any remediation efforts identified in the organizations through informal and formal channels. The ideal candidate is a strong executor who thrives in dynamic environments, brings hands-on experience executing regulatory change management programs at a financial institution, and is skilled in translating complex regulations into actionable business guidance.   

Duties/Responsibilities:

• Own and manage the end-to-end Regulatory Change Management (RCM) process including intake, impact assessment, stakeholder engagement, and change tracking through to implementation and validation. 

• Monitor regulatory developments from primary sources (FINRA notices, SEC rule filings, etc.) and secondary services (SIFMA working groups, FINRA disciplinary actions, etc.).

• Facilitate regulatory applicability analysis and collaborate with legal and compliance SMEs to assess business impact. 

• Maintain a centralized regulatory inventory, including taxonomy alignment with products, services, business units, and laws/regulations. 

• Partner with business, legal, and first-line risk owners to ensure timely action planning, control development, and compliance implementation. 

• Lead working groups or cross-functional forums to track implementation of regulatory changes, document decisions, and escalate risk issues. 

Education and/or Experience:

• Bachelor’s degree (or equivalent work experience) required

• 5+ years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred.  

• FINRA SIE and Series 7 Licenses preferred   

• Experience with GRC systems (e.g.,LogicGate) to track regulatory changes and tie them to controls and policies.  

Required Skills/Abilities:

• Proficient in Microsoft Excel/PowerPoint or Google Suite tools with a strong command of visualization techniques for dashboards and summaries. 

• Strong interpersonal and written communication skills. 

• Proactive individual with 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 are essential. 

• A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives. 

• Strong working knowledge of federal (FINRA and SEC) related regulations 

• Deep understanding of Compliance Program and 2LOD responsibilities including independence, credible challenge, documentation standards, and escalation protocols. 

Work Environment:

• This job operates in a hybrid, office environment 3 days per week.

#compliance #associate #full-time #LI-MJ1 #APEX

​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.