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, Los Angeles, 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

Our Trade Surveillance Analyst will join the Compliance team of 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 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'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, you are likely to be rewarded and recognized, which often happens 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 customers' 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.

What you'll 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'll 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 required; Series 24 required (or ability to complete within 4 months); Series 3 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

#LI-MJ1