Senior Compliance Analyst

Apex Fintech Solutions•Dallas, TX

2d•Hybrid

About The Position

Our Senior Compliance Analyst will join 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. Investment Securities Experience - You are organized, 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.

Requirements

Bachelor’s degree and/or associate’s degree plus equivalent combination of education, additional certification, and/or experience.
Minimum of 5+ years of experience in the compliance functions of a broker-dealer.
FINRA Series 7.
Ability to successfully complete the Series 24 examination.
In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations.
Exceptional interpersonal and written communication skills.
Highly motivated with capability to work with minimum supervision on a wide range of matters.
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.
Demonstrated proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency, automate routine administrative processes, and eliminate time-consuming manual tasks, thereby enabling greater focus on high-value strategic activities and client service delivery.

Nice To Haves

Correspondent Clearing experience strongly preferred.

Responsibilities

Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines.
Interact with multiple business units and stakeholders by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes.
Actively participate in responding to various types of regulatory inquiries and participating in regulatory examinations.
Ensure that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the sound business practices and processes.
Exemplify exceptional professional standards and ethical conduct that inspires colleagues and stakeholders, serving as a role model through consistent demonstration of company values, proactive problem-solving, and unwavering commitment to excellence in all interactions and deliverables.
Exercise exceptional stewardship over all firm resources—including financial assets, technology systems, office facilities, and staff time—through sustainable practices that protect and enhance long-term organizational value.