Apex Fintech Solutions LLC seeks a seasoned Senior Compliance Analyst (Regulatory) to oversee Broker/Dealer compliance programs. You will report to the Sr. Manager, Compliance (Regulatory) and ensure alignment with FINRA, SEC, and other regulators. You’ll uphold robust policies, participate in examinations, and advance our compliance culture.
The role demands strong regulatory knowledge, leadership, and the ability to train staff while maintaining high ethical standards across the firm.
