Compliance Analyst - CIP

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.  

 At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. 

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. 

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. 

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: 

Best Places to Work 

2026, 2025, 2024, 2023 - Presented by BuiltIn 

WealthTech of the Year 

2025 - Presented by US FinTech Awards 

The World’s Top 250 Fintech Companies 

2024 - Presented by CNBC 

ABOUT THIS ROLE

We are looking for a Compliance Analyst (CIP) to join a rapidly growing organization focused on empowering innovation, growth, and efficiency.

We’re 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 clients when there is no way possible to meet their demands. 

• 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 highly organized, well-versed in investment terminology, and knowledgeable about the Customer Identification Program (CIP) requirements for Broker-Dealers. You recognize the significance of ensuring compliance with CIP protocols, addressing negative news, and adhering to record retention standards in line with the USA PATRIOT Act.

What you’ll do all day:

• Perform CIP reviews of accounts introduced to Apex Clearing Corporation. Your main responsibility will be to review client-provided documentary verification to determine whether an account meets the organization's CIP requirements in accordance with the firm's policies and procedures.

• Utilize Third Party Vendors and open sources to review negative news on potential end clients. You will heavily rely on your research skills to assess whether potential clients and/or end customers are confirmed matches to entities or individuals linked to derogatory news.

• Document your findings. Effectively communicating expectations to clients and thoroughly documenting your findings in writing within the firm's systems will be essential.

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’ll have genuine opportunities for growth. We care about your career goals and provide options for growth. We encourage outside learning, education and we look to promote within.

And a few reasons why you may not love us:

• You like to have a checklist of things to review.  Each situation may present something new and unknown. You will need to find problems, solutions and accept new challenges.

• 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. Although the day to day is consistent, it’s a fast-paced environment and you will be expected to adapt accordingly.

• 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:   

• AML experience in Financial Securities industry is a plus.

• Bachelor’s degree and/or associate’s degree preferred or equivalent combination of education, certification and/or experience.

• Holding FINRA SIE, Series 99, Series 7, or ACAMS certifications is a plus.

• 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 multi-task effectively under pressure and excellent organizational and time management skills are essential.

#LI-JO1 #APEX #compliance #mid-senior #senior

​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.