Regulatory Reporting Analyst

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify automate and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash Betterment SoFi Webull and eToro amongst many others; collectively Apex powers access to the stock market for over 22 million end customers.

At Apex we are changing how the securities industry operates by reinventing the status quo which was manual slow and accessible only by the ultra-wealthy. Were digitizing and democratizing systems so that everyone has an opportunity to invest.

When youre at Apex you drive this change. Youre part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin Dallas Chicago New York Portland Belfast and Manila are home to over 1000 employees.

Together were shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. grit results empathy accountability and teamwork with Apex.

Were proud to be recognized for the innovative work we do the purpose-driven nature of our work and the collaborative culture weve created. Here are just a few of the many awards weve recently received:

Best Places to Work

- Presented by BuiltIn

WealthTech of the Year

2025- Presented by US FinTech Awards

The Worlds Top 250 Fintech Companies

2024- Presented by CNBC

ABOUT THIS ROLE

Job Summary:

Apex Finance is seeking a detail-oriented and analytical Regulatory Reporting Analyst to join our dynamic team. This role is crucial for maintaining the firms regulatory compliance by managing complex reporting tasks analyzing financial data and ensuring accuracy in all regulatory filings. The Regulatory Reporting Analyst will collaborate extensively with various teams including Billing Accounting Treasury Client Service Operations Compliance and Technology making an impactful contribution towards safeguarding the firm and its clients.

Key Responsibilities:

• Regulatory Compliance: Ensure that the firm adheres to securities laws and regulations such as Rule 15c3-3 regarding customer protection by continually applying and updating knowledge of these rules.
• SEC Reporting: Lead the preparation of the firms FOCUS report in compliance with Rule 15c3-1 which includes crafting the regulatory balance sheet and related schedules.
• Futures Industry Reporting: Manage daily and monthly regulatory reporting responsibilities for the futures business focusing on compliance and process improvement.
• Reserve Calculations and Reporting: Actively participate in the calculation of the weekly 15c3-3 reserve computation resolving issues and reconciling accounts as required.
• Capital Charges Calculations: Prepare monthly capital charges including detailed analysis of haircuts margin calls and fails to deliver/receive to determine net capital accurately.
• Accounting Support: Assist with the monthly accounting close specifically related to regulatory reporting needs and maintain accurate reconciliations of balance sheet accounts.
• Process Optimization: Continuously seek out and implement more efficient and impactful methods for regulatory reporting tasks while upholding high standards of accuracy and compliance.

Education and Experience:

• Bachelors degree in Accounting Finance or a related field
• 2 years of general accounting experience with a strong preference for candidates who have experience in broker-dealer accounting and operations.

Preferred Qualifications:

• Regulatory Knowledge: Familiarity with SEC Rule 15c3-1 Rule 15c3-3 and other relevant financial regulatory frameworks.
• Industry-Specific Experience: Prior experience with futures industry regulatory reporting.
• Certifications: Series 27 7 or 99 certifications are beneficial.
• Technical Skills: Proficiency in NetSuite and advanced Excel capabilities are highly valued.
• Knowledge Skills and Abilities: Analytical Abilities: Exceptional analytical and problem-solving skills to accurately handle complex data and reporting tasks.
• Attention to Detail: High level of accuracy and attention to detail in all aspects of work.
• Independence: Ability to function effectively both independently and as part of a team in a fast-paced environment.
• Communication: Strong communication skills capable of constructing well-formulated written and verbal reports and presenting complex information clearly and : Can manage multiple projects and tight deadlines adapt quickly to changes and handle competing priorities.

Please note this job description is not designed to cover or contain a comprehensive listing of activities duties or responsibilities required of the employee for this job. Duties responsibilities and activities may change at any time with or without notice.

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.

Salary Range

The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge skills experience and office location.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race color religion sex (including pregnancy sexual orientation and gender identity) national origin age disability veteran status marital status or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.