Compliance Analyst - CIP (Night Shift / Remote)

Apex

Remote

Quick summary

Work type
Remote
Location
Remote
Posted
27 days ago

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Salary context

How this pay compares to similar roles

Similar $154k
$115k most similar roles pay here $192k

This listing doesn't post a salary. Most similar roles pay $122,818–$184,800.

Based on 240 similar postings.

Employer

About Apex

Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure

Apex currently has 39 open roles on FindRole.

Listed pay typically runs $134,400–$168,000 across 13 roles with salary data.

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At a glance

TL;DR · Compliance Analyst - CIP (Night Shift / Remote)

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Join our dynamic Compliance team as a CIP Analyst (Night Shift / Remote) where you will play a crucial role in ensuring regulatory compliance for Apex Clearing Corporation by reviewing client documentation to meet CIP requirements and utilizing third-party vendors and open sources to assess potential clients against negative news. Your day-to-day involves meticulous research, strategic problem-solving, and clear communication with clients through detailed documentation within the firm’s systems. Ideal candidates possess AML experience in financial securities, strong verbal and written skills, and certifications like FINRA SIE or Series 7. This role demands a proactive individual who thrives in a fast-paced environment, embraces change, and collaborates effectively to drive compliance excellence.

Skills

AML FINRA SIE Series 99 Series 7 ACAMS Investment Securities Experience Customer Identification Program (CIP) USA PATRIOT Act Negative News Research Documentation Skills Verbal Communication Written Communication Motivation Attention to Detail Prioritization Multi-tasking Time Management

What you'll do

  • Perform CIP reviews of client accounts to ensure compliance with firm policies.
  • Utilize third-party vendors and open sources to review negative news on potential clients.
  • Document findings and communicate expectations to clients within the firm's systems.
  • Assess documentary verification provided by clients for adherence to CIP requirements.
  • Prioritize and manage multiple tasks effectively under pressure in a fast-paced environment.

What we're looking for

  • Experienced in Customer Identification Program (CIP) requirements for Broker-Dealers.
  • Strong research skills to review negative news on potential clients using third-party vendors and open sources.
  • Excellent verbal and written communication skills to document findings effectively.
  • Ability to work independently with minimal supervision, prioritizing tasks under pressure.
  • Holds FINRA SIE, Series 99, Series 7, or ACAMS certifications (preferred).
  • Bachelor’s degree in a related field or equivalent combination of education and experience.

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