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Senior Regulatory Compliance Analyst (Broker/Dealer)

L5

peak6 investmentsDallas, TX3 days ago

Occupations

Compliance OfficersCompliance ManagersFinancial Examiners

Industries

Investment Banking and Securities IntermediationMiscellaneous IntermediationSecurities and Commodity Exchanges
Apex Fintech Solutions is seeking a seasoned Senior Compliance Analyst (Regulatory) to support oversight of our Broker/Dealer compliance programs. You will help maintain regulatory readiness, respond to inquiries, and ensure adherence to FINRA, SEC, and other requirements. The ideal candidate has a bachelor's degree in a related field and at least five years in compliance, with licenses (Series 7 and 24) preferred.
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Apply now (opens in a new tab)

Level

SeniorL5

Location

Dallas, TX

Occupation

Compliance Officers

Industry

Investment Banking and Securities Intermediation

Posted

3 days ago

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