WHO WE ARE
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, 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

ABOUT THIS ROLE
Apex Fintech Solutions is currently seeking an Anti-Money Laundering Analyst with investigation and prevention experience in the brokerage or banking industries. The role focuses on the development and maintenance of a robust detection and prevention program, which includes investigating, and processing, system-generated suspicious transaction alerts as well as responding to a variety of internal and external inquiries.
We are 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 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 organized, understand investment terminology, and can speak conversationally about investing concepts.

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 will 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.

Duties/Responsibilities:

• Monitor Account Activity - Your primary duty will be reviewing account information for suspicious activity as well as transactional alerts for potential money laundering violations. You will use a variety of tools and resources to help identify activity that could pose a risk to the firm.
• Investigate red flags or suspicious activity - You will use unconventional sources to find any customer that has or may violate federal laws or security laws. You will also assist in the Suspicious Activity Reporting (SAR) process and analyze bi-weekly FINCEN notifications and OFAC screens.
• Complete diligence on individuals, corporations, and foreign entities - You are always looking for data and information that will help us identify risk. Your goal is to reduce the amount of bad actors trying to get access to the financial system through Apex.
• Report on newly issued Sanctions - You will review OFAC press releases and provide guidance as to the application of sanctions to Apex's business.
• Document your findings - You will document your reviews and your findings. You will continually monitor activity to ensure manipulative activity does not occur.

Experience:

• Bachelor's degree and/or Associate's degree plus equivalent combination of education, additional certification and/or experience
• 2+ years of AML experience in financial securities industry; sanctions experience is strongly preferred
• FINRA SIE License required (or willingness to obtain)
• Securities industry experience
• 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 multitask effectively under pressure and excellent organizational and time management skills are essential
• ACAMS certification preferred

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.
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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.
Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment
We're looking for all kinds of people.
At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.
Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.