Senior Compliance Analyst (Trade Surveillance)

Apex Fintech Solutions

Apex Fintech Solutions

IT, Legal
Dallas, TX, USA
Posted on Sunday, November 19, 2023


Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers. 

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Portland, and Belfast. 

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. 

AFS has received a number of prestigious industry awards, including:

  • 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards

  • 2021 Most Innovative Companies - presented by Fast Company

  • 2021 Best API & Best Trading Technology - presented by Global Fintech Awards


The Senior Compliance Analyst (Trade Surveillance) will join the Compliance team of a rapidly growing organization focused on empowering innovation, growth and efficiency.

We are looking for someone who:

  • Thinks strategically and is inquisitive - You are 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 are 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.
  • Securities Investment 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.

A few reasons why you might love working here:

  • Our Compliance track record - We have 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 are 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 will have genuine opportunities for growth - We care about your career goals and provide options for growth.  If you are successful, you are likely to be rewarded and recognized, which often happens faster than at a larger firm.

What you will do all day:

  • Analyze trade activity of retail and institutional brokerage clients, as well as registered investment advisors, to identify and/or prevent market manipulation and market abuse including but not limited to insider trading, ramping, spoofing/layering, etc...
  • Investigate suspicious trade activity or patterns of unusual trading as appropriate for equity, options, and futures securities transactions
  • Consistently communicate with correspondent firms to provide education on current trends and best practices
  • Research, analyze, and interpret current, new, and proposed trade monitoring related regulatory requirements to determine the impact to current processes and procedures
  • Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices in relation to trade surveillance
  • Participate in regulatory and internal audits involving trade surveillance related matters when needed

The skills you will need to succeed:   

  • 3+ years of experience in the trade surveillance functions for a retail and/or institutional broker-dealer (Correspondent Clearing experience strongly preferred)
  • In depth knowledge of applicable SEC and FINRA trade regulations that apply to a Correspondent Clearing Firm
  • FINRA Series 7 and Series 24 license required (or ability to complete within 4 months)
  • FINRA Series 3 license is a plus
  • Familiarity with Surveyor or other third-party trade monitoring systems is a plus
  • Bachelor’s degree and/or Associate’s degree plus equivalent combination of education, additional certification and/or experience
  • 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 multitask effectively under pressure and excellent organizational and time management skills are essential

#compliance #associate #full-time #LI-MJ1

Our Rewards

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment

At Apex, we embrace diversity and are dedicated to creating an inclusive and equitable workplace. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.
Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.