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PEAK6

Compliance Analyst – CIP

PEAK6

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.

Posted 5/24/2026full-timeRemote • 🇵🇭 PhilippinesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact
  • 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

What you’ll need
  • 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

Comp & perks
  • 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

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
CIP reviewsdocumentary verificationresearch skillsnegative news assessment
Soft Skills
verbal communicationwritten communicationmotivationability to work independentlyproactiveattention to detailprioritizationmulti-taskingorganizational skillstime management
Certifications
FINRA SIESeries 99Series 7ACAMS