Compliance Analyst – CIP
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Job Description
Compliance Analyst responsible for performing CIP reviews at Apex Clearing Corporation. Utilizing research skills and third-party vendor information to ensure compliance standards are met.
Responsibilities:
- Perform CIP reviews of accounts introduced to Apex Clearing Corporation
- Review client-provided documentary verification to determine whether an account meets the organization's CIP requirements
- Utilize Third Party Vendors and open sources to review negative news on potential end clients
- Heavily rely on research skills to assess whether potential clients and/or end customers are confirmed matches to derogatory news
- Document findings effectively and thoroughly within the firm's systems
Requirements:
- AML experience in Financial Securities industry is a plus
- Bachelor’s degree and/or associate’s degree preferred or equivalent combination of education, certification and/or experience
- Holding FINRA SIE, Series 99, Series 7, or ACAMS certifications 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
Benefits:
- healthcare benefits (medical, dental and vision, EAP)
- competitive PTO
- 401k match
- parental leave
- HSA contribution match
- paid subscription to the Calm app
- generous external learning and tuition reimbursement benefits
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