Compliance Manager

At Apex Fintech Solutions, we are committed to driving innovation in digital wealth management and democratizing access to financial markets. Our mission is to empower everyone to invest by reinventing traditional securities industry practices.

About the role

Apex Fintech Solutions is seeking a Manager of Regulatory Compliance to lead a team focused on maintaining regulatory compliance and enhancing firm standards.

Responsibilities

• Provide training, assistance, advice, and guidance in reviewing and analyzing daily functions related to both customer and firm business activities.
• Participate in projects and initiatives with various teams, particularly with Trading and Operations, to ensure compliance and integrate compliance into daily functions.
• Coordinate timely and accurate responses to regulatory inquiries and participate in regulatory examinations, ensuring alignment with legal standards.
• Assist in developing and implementing adequate controls and quality assurance processes to identify and prevent compliance issues.

Qualifications

• Bachelor’s degree and/or relevant experience in compliance functions of a broker-dealer, with Correspondent Clearing experience preferred.
• 10 years of experience in compliance functions, with 5 years of management experience.
• Deep knowledge and understanding of SEC and FINRA rules and regulations.
• Proven track record of engaging with regulators and SROs on inquiries and examinations.
• Ability to register as a General Securities Representative and a General Securities Principal (Series 7 & 24) or obtain within six months.

Education and Experience

• Bachelor’s degree or equivalent relevant experience.
• Experience in compliance functions of a broker-dealer.
• Management experience in compliance functions.

We offer a comprehensive benefits package including healthcare, PTO, 401k matching, parental leave, HSA contribution match, a paid subscription to the Calm app, and tuition reimbursement. Our hybrid work schedule allows for flexibility, and we are committed to creating an inclusive environment for all candidates.