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We Insure · 2 months ago

Compliance Analyst (Regulatory)

Dallas, TX

Full-time

Hybrid

Entry Level

3+ years exp

Apex Fintech Solutions is a leader in digital wealth management, providing innovative fintech solutions to clients. They are seeking a Compliance Analyst (Regulatory) who will interact with regulators and business stakeholders to ensure compliance with financial regulations while developing expertise in the regulatory landscape.

Insurance

Responsibilities

Draft well-structured narrative responses and compile data to address regulatory inquiries and information requests within established deadlines

Analyze, summarize, and communicate new or revised rules, guidance, and enforcement trends to internal stakeholders

Support regulatory examinations by gathering, organizing, and validating requested information; maintain trackers and audit trails for submissions

Review and interpret legal, policy, and business documents to assess compliance with applicable regulations and firm standards

Maintain a regulatory calendar and document repository; strengthen processes, controls, and documentation standards

Assist with special projects to enhance the Compliance Program, including process improvements, WSP development, and cross-functional initiatives

Qualification

Juris Doctor (JD)Bar admissionCompliance experienceFINRA SIESeries 7Analytical skillsWritten communicationVerbal communicationAttention to detailCollaboration

Required

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

Excellent written and verbal communication skills, with the ability to translate complex legal and regulatory concepts into clear regulatory responses and practical guidance

Strong analytical, research, and issue-spotting abilities; comfort interpreting statutes, rules, and policy documents

Exceptional organization and attention to detail, with the ability to manage multiple priorities and meet deadlines under pressure

Proactive, collaborative, and accountable, with sound judgment and a commitment to ethical standards