We are looking for a Compliance Analyst, Customer Identification Program (CIP) to join a rapidly growing organization focused on empowering innovation, growth, and efficiency.

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 possible 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 customer suitability requirements. You understand the importance of providing proper investment recommendations and how to monitor trading activity to ensure it is compliant with FINRA requirements.

What you will do all day:

• Perform CIP reviews of accounts introduced to Apex Clearing Corporation - Your primary role will be reviewing documentation provided by our clients to determine if an account passes our CIP checks according to the firm’s policies and procedures.
• Utilize Third Party Vendors and open sources to review negative news on potential end clients - You will utilize and rely heavily upon your research skills to determine whether or not potential clients and/or end customers are a confirmed match to entities/persons associated with derogatory news.
• Document your findings - Clearly communicating your findings in writing in the firms systems is of the utmost importance. You will appropriately document your findings.

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.

The skills you will need to succeed:

• Bachelor’s degree and/or associate’s degree preferred or equivalent combination of education, certification and/or experience
• AML experience in financial securities industry is a plus
• 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 multi-task effectively under pressure and excellent organizational and time management skills are essential