Compliance Analyst, Regulatory Requests

Our Compliance Analyst, Regulatory Requests will join a rapidly growing organization focused on empowering innovation, growth and efficiency. java test

We’re looking for someone who:

• Thinks strategically and is inquisitive - You’re intellectually curious and love finding and solving challenges with creative and simple solutions.  You find ways to get things done efficiently without sacrificing quality.

• Takes initiative and is a high performer - You’re driven to be the best.  You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.

• Have great communication skills - Not only are you articulate when verbally communicating but you can get the message through in a written format.  You also provide alternatives for peers when there is no way possible to compromise regulation requirements.   

• Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds.  Your contributions are not limited to your assigned tasks.

• Investment Securities Experience - You are organized, understand investment terminology and regulatory requirements.  You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

What you’ll do all day:

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

• Participate in continuous improvement projects with various teams - You will 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.

• Investigate regulatory inquires - One of your primary objectives will be to actively participate in responding to various types of regulatory inquires and participating in regulatory examinations

• Help the company continue to meet standards - You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures, are comprehensive, robust, current, and reflect the firm’s business practices and processes.

A few reasons why you might love working here:

• Our Compliance track record - We’ve got an incredible Compliance track record.  We foster a culture of Compliance throughout our firm. 

• Our team is passionate and driven to succeed - We work as a team and build off of each other’s knowledge and ideas.  We encourage growth and give you a platform to succeed.  

• You’re open to change  - We are not satisfied with the status-quo.  We are continually changing and looking for someone who is looking to change with us.

• You’ll have genuine opportunities for growth - We care about your career goals and provide options for growth.  If you are successful in a smaller firm, you are likely to be rewarded and recognized much faster than at a larger firm.

And a few reasons why you may not love us:

• You do not like being challenged  - Each situation may present something new and unknown, something exciting.  You will need to find problems, solutions and accept new challenges.  If you’d prefer to have your Manager’s buy-in every step of the way, this is not a job for you.

• You don’t like change - This is not a job for someone who likes ‘predictable’.  Our customer’s needs are dynamic and can change rapidly, which means the work is dynamic.  It’s a fast-paced environment and you need to adapt accordingly.  You won’t be bored.

• You’re not the collaborative type - We bring ideas to the table and we work together to solve these challenges.  If you’re looking solely to be an independent contributor, this might not be the right position for you. 

The skills you’ll need to succeed:    

• Bachelor’s degree and/or Associate’s degree plus equivalent combination of education, additional certification and/or experience.

• Minimum of 3-5 years of experience in the compliance functions of a broker-dealer (Correspondent Clearing experience strongly preferred)

• FINRA Series 7 required; Series 24 preferred (or willingness to obtain the Series 24)

• Experience with FINRA rules applicable to marketing and client communications and regulatory filings

• In depth knowledge of applicable SEC and FINRA rules and able to interact with several SRO compliance counterparts on regulatory inquiries and examinations 

• Strong interpersonal and written communication skills

• Highly motivated with capability to work with minimum supervision on a wide range of matters

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

• Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential

Apex Clearing currently requires all employees as a condition of employment to either be fully vaccinated for COVID-19 or submit to regular testing.  The CDC defines "fully vaccinated" as two weeks after the second dose for Pfizer and Moderna, and two weeks after the single dose of Johnson & Johnson.  Apex Clearing will also require proof of vaccination and/or testing.  Apex Clearing will also consider requests for exemption from these requirements as a reasonable accommodation for medical reasons or sincerely held religious beliefs.