PEAK6
1001 - 5000 employees
💳 Fintech
📚 Education
Fintech • Investment • Education
PEAK6 is an innovative investment firm headquartered in Austin, Texas, with a global presence that includes a diverse portfolio of businesses. The company operates outside traditional investment practices, focusing on capturing unique opportunities and leveraging technology to enhance performance. PEAK6 encompasses various entities, including capital management, fintech solutions, and education initiatives, aiming to simplify processes, democratize financial access, and empower consumers. With over 25 years in the industry, PEAK6 strategically invests in transformative ideas, ensuring flexibility in the dynamic financial landscape.
Compliance Analyst – CIP
Job not on LinkedIn
🕒 May 24
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PEAK6
1001 - 5000 employees
💳 Fintech
📚 Education
Fintech • Investment • Education
PEAK6 is an innovative investment firm headquartered in Austin, Texas, with a global presence that includes a diverse portfolio of businesses. The company operates outside traditional investment practices, focusing on capturing unique opportunities and leveraging technology to enhance performance. PEAK6 encompasses various entities, including capital management, fintech solutions, and education initiatives, aiming to simplify processes, democratize financial access, and empower consumers. With over 25 years in the industry, PEAK6 strategically invests in transformative ideas, ensuring flexibility in the dynamic financial landscape.
📋 Description
• 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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