WHO WE ARE
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, Belfast, and Manila.
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:
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2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards
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2021 Most Innovative Companies - presented by Fast Company
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2021 Best API & Best Trading Technology - presented by Global Fintech Awards
ABOUT THIS ROLE
We are looking for a Compliance Analyst (CIP) for our Customer Identification Program to join a rapidly growing organization focused on empowering innovation, growth, and efficiency.
Duties/Responsibilities:
- Conduct thorough CIP reviews of incoming accounts, assessing documentation provided by clients to ensure they meet the firm's policies and procedures.
- Utilize third-party vendors and open-source platforms to conduct background research and review negative news linked to potential end clients. Identify and verify potential connections between potential clients and individuals or entities associated with negative news.
- Document findings in the firm's compliance systems utilizing clear and precise written communication practices.
- Work closely with other team members and compliance functions to ensure a seamless customer identification review process and address any issues or questions that may arise related to compliance and customer verification.
- Assist in reviewing and updating internal CIP procedures and workflows as needed. Provide feedback on potential improvements to enhance efficiency and effectiveness.
- Stay up-to-date with industry standards, regulatory changes, and best practices in customer identification and compliance/anti-money laundering (AML) processes. Participate in training programs to continue developing expertise.
- Proactively identify and resolve discrepancies or issues in documentation, escalating complex cases to senior analysts or management as necessary.
- Maintain organized records of all research, reviews, and communications performed during the CIP review process to ensure transparency and comprehensive audit trails.
Education and/or Experience:
- Bachelor's degree in Finance, Business, Criminal Justice, or a related field (or equivalent work experience) required.
- 2+ years prior experience in compliance, financial services, or a related area preferred
- FINRA Securites Industry Essentials License (or willingness to obtain) preferred
- Anti-money laundering experience with compliance and regulatory requirements in the financial services sector preferred
Required Skills/Abilities:
- Strong verbal 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 #APEX
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
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.
EEO Statement
Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.
Disability Statement
Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.
