Apex Fintech Solutions
Fintech
ComplianceAnalyst-CIP
Neural analysis suggests this role is
optimal for Mid candidates.
“Compliance Analyst - CIP at Apex Fintech Solutions. Skills: CIP reviews, Negative news, Documentation. Perform CIP reviews of accounts. Review client-provided documentary verification”
Industry & Context.
Finding and solving challenges with creative and simple solutions; Find ways to get things done efficiently without sacrificing quality; Find problems, solutions and accept new challenges
What They're Looking For.
Must Have
Knowledgeable about the Customer Identification Program (CIP) requirements for Broker-Dealers, Recognize the significance of ensuring compliance with CIP protocols, Addressing negative news, Adhering to record retention standards in line with the USA PATRIOT Act, Perform CIP reviews of accounts introduced to Apex Clearing Corporation, Review client-provided documentary verification to determine whether an account meets the organization's CIP requirements in accordance with the firm's policies and procedures, Utilize Third Party Vendors and open sources to review negative news on potential end clients, Assess whether potential clients and/or end customers are confirmed matches to entities or individuals linked to derogatory news, Effectively communicating expectations to clients, Thoroughly documenting your findings in writing within the firm's systems
Nice to Have
AML experience in Financial Securities industry, Holding FINRA SIE, Series 99, Series 7, or ACAMS certifications
What You'll Do.
Perform CIP reviews of accounts
Review client-provided documentary verification
Utilize Third Party Vendors and open sources
Review negative news on potential end clients
Document your findings
How You'll Work.
Team & Collaboration
Work collaboratively and embrace new ideas and opinions to ensure the team succeeds; Contributions are not limited to your assigned tasks; Work as a team and build off of each other’s knowledge and ideas; Bring ideas to the table and work together to solve these challenges
Communication Scope
Great communication skills; Articulate when verbally communicating; Get the message through in a written format; Provide alternatives for clients; Effectively communicating expectations to clients; Thoroughly documenting your findings in writing
Full Job Description
**WHO WE ARE** Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers. At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: **Best Places to Work** 2026, 2025, 2024, 2023 - Presented by BuiltIn **WealthTech of the Year** 2025 - Presented by US FinTech Awards **The World’s Top 250 Fintech Companies** 2024 - Presented by CNBC **ABOUT THIS ROLE** We are looking for a Compliance Analyst (CIP) to 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. * _
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