Giancarlo Diaz
About Giancarlo Diaz
Giancarlo Diaz is a Compliance Analyst at Apex Clearing Corporation, where he manages regulatory inquiries and examinations. He holds a Bachelor of Arts in International/Global Studies from Baylor University and has experience in compliance roles at several financial institutions.
Work at Apex Fintech Solutions
Giancarlo Diaz serves as a Compliance Analyst at Apex Fintech Solutions, a position he has held since 2021. In this role, he manages the end-to-end process of regulatory inquiries and examinations. He acts as the compliance contact for both new and existing business reviews, ensuring that all operations adhere to regulatory standards. His responsibilities include reviewing and updating written supervisory procedures across various business lines and conducting audits to ensure compliance with internal policies.
Education and Expertise
Giancarlo Diaz earned a Bachelor of Arts in International/Global Studies from Baylor University, where he studied from 2015 to 2018. His educational background provides a foundation for his work in compliance and regulatory matters within the financial sector. This academic experience contributes to his understanding of global financial regulations and compliance frameworks.
Background
Before joining Apex Fintech Solutions, Giancarlo Diaz gained experience in various compliance roles within the financial industry. He worked as a Compliance Consultant at Wells Fargo for three months in 2021. Prior to that, he held positions at Charles Schwab as a Financial Services Representative and at Fidelity Investments as a High Net Worth Representative. His career began at J.P. Morgan, where he served as an Investment Professional in 2019.
Achievements
In his current role at Apex Fintech Solutions, Giancarlo Diaz is responsible for handling analysis, investigation, and response to regulatory requests and subpoenas from financial oversight organizations. His work includes conducting audits to ensure compliance with internal policies, which is critical for maintaining the integrity of the organization and its operations.