Senior Compliance Analyst

About This Role The Senior Compliance Analyst will join a rapidly growing organization focused on empowering innovation, growth, and efficiency. Desired qualities include: Strategic thinker who is inquisitive and loves solving challenges with creative and simple solutions. High performer who takes initiative, drives to be the best, owns tasks fully, and sets and crushes goals. Excellent communicator, articulate verbally and in writing, and able to provide alternatives when regulatory requirements cannot be compromised. Team collaborator who embraces new ideas, values diverse opinions, and contributes beyond assigned tasks. Responsibilities Compliance liaison – provide general regulatory and compliance‑related updates across multiple business lines to ensure ongoing rule compliance. Participate in continuous improvement projects with various teams, offering guidance on day‑to‑day compliance functions and ensuring awareness of regulatory updates. Investigate regulatory inquiries – actively respond to regulatory inquiries and participate in examinations. Maintain and update policies and procedures, including written supervisory procedures, to reflect sound business practices and compliance with firm integrity and FINRA requirements. Qualifications Bachelor’s degree (or equivalent combination of education, certification, and experience). Minimum of 5+ years of experience in the compliance functions of a broker‑dealer. Correspondent clearing experience strongly preferred. FINRA Series 7 and ability to complete the Series 24 examination. In‑depth knowledge of applicable SEC and FINRA rules and experience interacting with SRO compliance counterparts on inquiries and examinations. Exceptional interpersonal, written communication, and organizational skills; ability to prioritize, multi‑task, and meet deadlines under pressure. Proficiency and enthusiasm for leveraging artificial intelligence tools to optimize workflow efficiency and automate routine tasks. Demonstrated ethical conduct and commitment to company values, professionalism, and stewardship of firm resources. Benefits & Perks We offer a robust package of employee perks and benefits, including health, dental, and vision coverage; EAP; competitive PTO; 401(k) match; parental leave; HSA contribution match; a paid subscription to the Calm app; generous external learning and tuition reimbursement; and a hybrid work schedule for most roles. Disclaimer This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee. Duties, responsibilities, and activities may change at any time with or without notice. 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. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. #J-18808-Ljbffr Apex Fintech Solutions UK Ltd.