Shannon Amin
Senior Compliance @Apex Fintech Solutions
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WORK HISTORY
Senior Compliance @Apex Fintech Solutions
At Apex Fintech Solutions, I serve as Senior Compliance within our Compliance Program, where I lead regulatory responses and document submissions to FINRA, the SEC, and the OCC. I partner closely with internal stakeholders and regulators to ensure timely, accurate reporting and sustained adherence to evolving regulatory standards.My work includes analyzing and responding to regulatory inquiries and examinations, developing and enhancing written supervisory procedures, and advising business units on compliance best practices. With a deep understanding of FINRA and SEC rules—especially those tied to marketing and client communications—I bring strategic insight and operational precision to broker-dealer compliance oversight. I’m especially experienced in correspondent clearing environments.
EDUCATION
East Carolina University
Master of Science (MS), Computer Science
Wake Technical Community College
Nursing
North Carolina State University
Bachelor's degrees, Economics and Public Relations
SKILLS
ABOUT SHANNON AMIN
At Apex Fintech Solutions, I serve as Senior Compliance within our Compliance Program, where I lead regulatory responses and document submissions to FINRA, the SEC, CFTC, and the OCC. I partner closely with internal stakeholders and regulators to ensure timely, accurate reporting and sustained adherence to evolving regulatory standards.Prior to joining Apex, I was a seasoned analyst with FINRA, a leader of advanced brokerage services options and margin at Robinhood, where I managed a team of options and margin specialists and provided guidance and education to clients on complex trading strategies and risk management. I also have years of experience as an equities and derivatives trader at TD Ameritrade, where I executed trades and analyzed market trends. I hold multiple FINRA licenses, including Series 7, 63, 4, 9, 10, and SIE, and I am passionate about staying updated on the latest developments and innovations in the financial sector.
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