Compliance Analyst (Regulatory)

Apex Fintech Solutions is a fintech company that powers digital wealth management by processing millions of transactions daily. They are seeking a Compliance Analyst (Regulatory) to join their team in Dallas, TX. The role involves interacting with regulators, outside counsel, and business stakeholders to document, track, and submit required information accurately and on time.

Requirements

• Juris Doctor (JD) from an accredited law school
• Bar admission in any U.S. jurisdiction (active), or candidates who have recently taken or are scheduled to take a state bar examination are encouraged to apply
• 3+ years of experience in the compliance functions of a broker-dealer preferred
• FINRA SIE and Series 7 preferred (or willingness to obtain)

Benefits

• Healthcare benefits (medical, dental and vision, EAP)
• Competitive PTO
• 401k match
• Parental leave
• HSA contribution match
• Paid subscription to the Calm app
• Generous external learning and tuition reimbursement benefits