Senior Compliance Analyst - Regulatory & Policy Innovator

Apex Fintech Solutions Apex Fintech Solutions (Apex) is a technology company powering digital wealth management platforms, supporting clients such as Stash, Betterment, SoFi, Webull, and eToro. We provide software that enables access to financial markets for millions of customers. About This Role We are looking for a Senior Compliance Analyst to join our growing organization focused on innovation and efficiency. Responsibilities Provide general regulatory and compliance updates for multiple business lines. Participate in continuous improvement projects with various teams, offering guidance on day‑to‑day compliance functions. Respond to regulatory inquiries and participate in examinations. Ensure policies and procedures, including supervisory procedures, are comprehensive, robust, and current. Qualifications Bachelor’s or associate’s degree plus equivalent education, certification, or experience. Minimum 5+ years of compliance experience in a broker‑dealer environment. Correspondent Clearing experience preferred. FINRA Series 7 and ability to complete the Series 24 examination. In‑depth knowledge of SEC and FINRA rules and experience interacting with SRO compliance counterparts. Exceptional written and verbal communication skills. Highly motivated, capable of working independently, and able to meet deadlines under pressure. Proficiency with artificial intelligence tools to optimize workflow. Strong ethical conduct and stewardship of firm resources. Why You May Love Working Here Strong culture of compliance and continuous improvement. Collaborative team that values innovation and growth. Opportunities for career advancement at a mid‑sized firm. Reasons You May Not Love Us Requires acceptance of frequent challenges and rapid change. Needs a collaborative mindset rather than solely independent work. Rewards We offer a comprehensive benefits package including healthcare (medical, dental, vision, EAP), competitive paid time off, 401(k) match, parental leave, HSA contribution match, access to a Calm app subscription, learning and tuition reimbursement, and a hybrid work schedule. EEO Statement Apex Fintech Solutions is an equal‑opportunity employer that does not discriminate on the basis of race, color, religion, sex, national origin, age, disability, veteran status, or any other protected characteristic. Disability Statement Apex Fintech Solutions is committed to an inclusive workplace for all candidates, including those with disabilities. Reasonable accommodations will be provided upon request. #J-18808-Ljbffr Apex Fintech Solutions