Compliance Intern - Summer 2022

Apex Fintech Solutions

350 N St. Paul St. Suite 1300 Dallas, TX 75201

Compliance Intern, Summer 2020

Work Location: Dallas, TX
Employee Type: Intern
Is Position Eligible for current and/or future Visa Sponsorship: No
Internship Timeline
Offers by:  May 3, 2021
Start: June 14, 2021 – August 12, 2021

APEX CLEARING – Compliance Intern

Apex delivers speed, efficiency & flexibility through technology solutions to firms ranging from innovative start-ups to blue-chip brands who choose to grow with us. We embrace a culture of growth, experimentation, and creativity.  Employees of Apex are asked to exercise their own responsibility and freedom, allowing each person to have a measurable impact on the business and provide plenty of opportunity for advancement and personal growth. Sound like something you would want to be a part of? We're hiring!

Apex Clearing is seeking an intern to join the Compliance team. The Compliance team is focused on creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

We are currently looking a Compliance intern to join our office in downtown Dallas, TX. The intern must be able to commit to a 9 week full-time (40hrs/week) internship during Summer 2021. Not eligible for visa sponsorship.

What you’ll do all day:

  • Compliance liaison Provide general regulatory and other compliance-related updates to ensure continued rule compliance for futures. You will be focused on the responsibilities related to our expanding futures business to ensure compliance with procedures and processes.
  • Participate in continuous improvement projects with various teams You will interact with Risk groups and other business units by providing day to day compliance functions for the firm to ensure ongoing awareness with updates and changes.
  • Help the company continue to meet standards You will be responsible for ensuring that applicable policies and procedures, including written supervisory procedures and manuals, are comprehensive, robust, current, and reflect the firm’s business practices and processes.

The skills you’ll need to succeed:

  • Interest in financial services
  • Be currently enrolled in a full-time Bachelor's degree program in Business or other related major and graduating in 2022. Junior standing preferred. 
  • Excellent problem-solving skills with high attention to detail
  • Effective inter-personal, verbal, and written communication skills
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.

Preferred skills:

  • A strong understanding of Windows-based applications, including proficiency with Microsoft Excel, Word, and Powerpoint
  • Relevant work experience or work experience in a professional environment (e.g. internships, summer positions, school jobs, etc)