peak6 investmentsDallas, TX
Senior Regulatory Compliance Analyst (Broker/Dealer)
Senior Regulatory Compliance Analyst (Broker/Dealer)
Investment Banking and Securities IntermediationMiscellaneous IntermediationSecurities and Commodity Exchanges
Apply for this role (opens in a new tab)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.
Also on the board Same function, level within a rung
Level
Senior
Location
Dallas, TX
Occupation
Compliance Officers
Industry
Investment Banking and Securities Intermediation
Posted
5 days ago