Apex Fintech Solutions
Fintech
SeniorComplianceAnalyst
“Senior Compliance Analyst at Apex Fintech Solutions. Skills: Compliance, Regulatory inquiries, FINRA rules. Provide regulatory updates. Ensure continued rule compliance”
What You'll Achieve.
Help the company continue to meet standards; Ensure policies and procedures are comprehensive, robust, current; Reflect sound business practices and processes; Optimize workflow efficiency; Automate routine administrative processes; Eliminate time-consuming manual tasks; Enable greater focus on high-value strategic activities; Enhance long-term organizational value
Industry & Context.
Finding and solving challenges; Creative and simple solutions; Find ways to get things done efficiently; Proactive problem-solving
What They're Looking For.
Must Have
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, Exceptional interpersonal and written communication skills, Highly motivated with capability to work with minimum supervision, Demonstrated ability to meet deadlines and extraordinary attention to detail, Ability to prioritize and multi-task effectively under pressure, Excellent organizational and time management skills, Ability to exemplify exceptional professional standards and ethical conduct, Ability to exercise exceptional stewardship over all firm resources
Nice to Have
Correspondent Clearing experience strongly preferred
What You'll Do.
Provide regulatory updates
Ensure continued rule compliance
Participate in improvement projects
Provide guidance on compliance functions
Ensure awareness with regulatory updates
Investigate regulatory inquiries
Respond to regulatory inquiries
Participate in regulatory examinations
Ensure policies and procedures are current
How You'll Work.
Team & Collaboration
Interact with multiple business units and stakeholders; Work collaboratively; Embrace new ideas and opinions; Contributions not limited to assigned tasks; Work together to solve challenges
Communication Scope
Great communication skills; Articulate when verbally communicating; Get message through in written format; Provide alternatives for peers; Exceptional interpersonal and written communication skills
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