Compliance Manager

About the role

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers. At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. Together, we're shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. - grit, results, empathy, accountability, and teamwork - with Apex. We're proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we've created. Here are just a few of the many awards we've recently received: Best Places to Work 2026, 2025, 2024, 2023 - Presented by BuiltIn WealthTech of the Year 2025 - Presented by US FinTech Awards The World's Top 250 Fintech Companies 2024 - Presented by CNBC ABOUT THIS ROLE Apex Fintech Solutions is seeking a dynamic and effective Manager of Regulatory Compliance to lead and manage a team responsible for addressing regulatory inquiries, firm examinations, and rule interpretations both internally and externally. This position will work closely with various teams to ensure ongoing regulatory compliance and enhance the firm's standards of compliance. Ideal candidates will be strategic thinkers, high performers, possess excellent communication skills, thrive in a team environment, and have substantial experience in investment securities.

Responsibilities

• Compliance Leadership: Provide training, assistance, advice, and guidance in the review and analysis of daily functions related to both customer and firm business activities.
• Ongoing Collaboration: Participate proactively in projects and initiatives with various teams, particularly with the Trading and Operations groups, to provide regulatory guidance and ensure the integration of compliance within daily functions.
• Standards and Controls Implementation: Assist management in the development and implementation of adequate controls and quality assurance processes to identify and prevent potential compliance issues early.
• Education and Experience:
• Bachelor's degree and/or an associate's degree with a relevant combination of education, certification, and experience.
• 10 years of experience in the compliance functions of a broker-dealer, with Correspondent Clearing experience strongly preferred.
• 5 years of management experience.

Requirements

• Regulatory Expertise: Deep knowledge and understanding of applicable SEC and FINRA rules and regulations.
• Experience with Regulators & SROs: Proven track record of engaging with multiple regulators and self-regulatory organization (SRO) compliance counterparts on regulatory inquiries and examinations.
• Client Interaction: Demonstrated experience in interacting with clients (correspondents) concerning SEC and FINRA rules and their application to business operations.
• Registration as a General Securities Representative and a General Securities Principal (Series 7 & 24) or the ability to obtain within six months.
• Knowledge, Skills, and Abilities:
• Strategic Thinking: Ability to think strategically and solve challenges with innovative solutions.
• Initiative and Performance: High level of initiative and the capability to perform excellently under pressure.
• Communication: Strong interpersonal and written communication skills. The ability to articulate complex regulatory requirements clearly in both verbal and written forms.
• Team Collaboration: Works collaboratively to embrace new ideas and ensure team success, fostering a culture of compliance.
• Organization and Prioritization: Exceptional organizational and time management skills, with the ability to prioritize tasks effectively under pressure and meet deadlines.
• Motivation and Initiative: Demonstrate strong motivation and the ability to manage multiple matters independently with minimal supervision.
• Leadership: Exemplify exceptional professional standards and ethical con

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