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Apex Fintech Solutions · 3 hours ago

Compliance Analyst (Regulatory)

Dallas, TX

Full-time

Hybrid

Entry Level

3+ years exp

Apex Fintech Solutions is a leader in digital wealth management, processing millions of transactions daily to simplify access to financial markets. The Compliance Analyst (Regulatory) role is designed for a recent law graduate or newly licensed attorney to engage with regulators and support compliance efforts, ensuring the company meets its regulatory obligations effectively.

Financial Services

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 DoctorBar admissionCompliance experienceFINRA SIESeries 7Analytical skillsResearch skillsCommunication skillsOrganizational skillsAttention to detail

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

3+ years of experience in the compliance functions of a broker-dealer preferred

FINRA SIE and Series 7 preferred (or willingness to obtain)

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

Preferred

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

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