Apply on Employer Site

Apex Fintech Solutions · 8 hours ago

Senior Compliance Analyst (Futures)

Chicago, IL

Full-time

Hybrid

Mid, Senior Level

$88K/yr - $110K/yr

5+ years exp

Apex Fintech Solutions is a global organization that powers innovation and the future of digital wealth management. The Senior Compliance Analyst (Futures) plays a key role in the Compliance Program, interacting with regulators and business stakeholders to ensure compliance and operational resiliency.

Financial Services

Responsibilities

Provide general regulatory and other compliance-related updates to ensure continued rule compliance for many business lines

Respond to exchange examiners, CME, ICE Small Exchange, for the FCM

Interact with Operation groups and other business units by providing guidance on day-to-day compliance functions to ensure ongoing awareness with regulatory updates and changes

Actively participate in responding to various types of regulatory inquires and participating in regulatory examinations

Ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes

Qualification

NFA rules knowledgeCFTC rules knowledgeFINRA Series 3 licenseCompliance experienceInterpersonal skillsWritten communicationCritical thinkingProblem solvingOrganizational skillsTime management

Required

Bachelor's degree (or equivalent work experience) required

5+ years of experience in the compliance functions of a broker-dealer. Correspondent Clearing experience strongly preferred

Experience with NFA and CFTC rules applicable to client communications and regulatory filings

FINRA Series 3 license(s) required

In depth knowledge of applicable NFA and CFTC rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations

Strong interpersonal and written communication skills

Exhibit product knowledge of the futures and options markets

Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail

Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

A critical thinker and problem solver to understand the details while also staying on task for the overall program objectives

Preferred

Correspondent Clearing experience strongly preferred

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

Hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices

Company

Apex Fintech Solutions

Apex Fintech Solutions provides the tools and services that enable hundreds of clients to launch, scale, and support digital investing for tens of millions of end investors.

Founded in 2012

Dallas, Texas, US

501-1000 employees