Compliance Manager

WHO WE ARE

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 1000 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.

Key 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.
• Regulatory Inquiries and Examinations: Play an active role in coordinating timely and accurate responses to various types of regulatory inquiries and participating in regulatory examinations ensuring the firm’s practices align with legal standards.  This includes the management of workflow related to said inquiries and examinations.
• 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.

Qualifications:

• 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 conduct serving as a role model through consistent demonstration of company values proactive problem-solving and commitment to excellence in all interactions and deliverables.
• Resource Management:  Exercise exceptional stewardship over all firm resources—including financial assets technology systems office facilities and staff time—through sustainable practices that protect and enhance long-term organizational value. 
• AI Proficiency:  Proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency automate routine administrative processes and eliminate time-consuming manual tasks thereby enabling greater focus on high-value strategic activities and client service delivery. 

#compliance #mid-senior #full-time #LI-MJ1 #APEX

​Please note this job description is not designed to cover or contain a comprehensive listing of activities duties or responsibilities required of the employee for this job. Duties responsibilities and activities may change at any time with or without notice.

Our Rewards

We offer a robust package of employee perks and benefits including healthcare benefits (medical dental and vision EAP) competitive PTO 401k match parental leave and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race color religion sex (including pregnancy sexual orientation and gender identity) national origin age disability veteran status marital status or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.

What We Do

Apex Fintech Solutions provides the tools and services that enable hundreds of clients to launch scale and support digital investing for tens of millions of end investors. The company provides essential infrastructure and a comprehensive ecosystem of cloud-based products to enable and streamline trading wealth management cost basis tax reporting and through its subsidiary Apex Clearing™ custody and clearing. For more information visit the Apex Fintech Solutions website: https://www.apexfintechsolutions.com.

Why Work With Us

We are bold enough to do what needs to be done. Savvy enough to know what that is. Kind and candid enough to tell it like it is every step of the way. We are compelling in our own right but devoted to joint success. We watch our backs. We scout the way ahead. We put ourselves our team and our clients in a position to soar.

Gallery