Compliance Analyst – CIP

This is a fully remote position, open to applicants in Philippines.

📋 Description

• Conduct CIP evaluations of accounts brought to Apex Clearing Corporation.

• Assess client-supplied documentary verification to ascertain if an account fulfills the organization's CIP criteria.

• Leverage Third Party Vendors and public resources to investigate negative news related to potential end clients.

• Depend significantly on research abilities to determine if potential clients and/or end customers are confirmed matches to adverse news.

• Effectively and comprehensively document findings within the firm's systems.

⛳️ Requirements

• Experience in AML within the Financial Securities sector is advantageous.

• A bachelor's degree and/or associate's degree is preferred, or an equivalent combination of education, certification, and/or experience.

• Possession of FINRA SIE, Series 99, Series 7, or ACAMS certifications is beneficial.

• Excellent verbal and written communication skills.

• Highly motivated with the ability to work independently on a variety of tasks.

• Proactive individual with a proven track record of meeting deadlines and exceptional attention to detail.

• Capability to prioritize tasks and multitask efficiently under pressure, along with excellent organizational and time management skills is essential.

🏝️ Benefits

• Healthcare benefits (medical, dental, vision, EAP).

• Competitive paid time off (PTO).

• 401k matching.

• Parental leave.

• HSA contribution matching.

• Paid subscription to the Calm app.

• Generous external learning and tuition reimbursement benefits.