Regulatory Reporting Specialist

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

We are looking for a motivated professional to manage critical regulatory reporting functions for our firm. The Regulatory Reporting Specialist will be responsible for ensuring full compliance with FINRA's Customer & Account Information Systems (CAIS) submissions and Consolidated Audit Trail (CAT) reporting requirements. The ideal candidate is detail-oriented deadline-driven and possesses a strong understanding of broker-dealer regulatory obligations.

Key Responsibilities

CAIS Reporting (Customer & Account Information Systems)

• Ensure timely reporting of new accounts account updates and account closures in accordance with FINRA requirements
• Validate customer data elements including personally identifiable information (PII) tax identification numbers and account characteristics
• Reconcile CAIS submissions against internal records and customer databases to ensure data integrity
• Address CAIS error notifications promptly and resubmit corrected files as needed
• Maintain thorough documentation of CAIS reporting methodologies and data mappings

CAT Reporting (Consolidated Audit Trail)

• Oversee daily submission of order events trade events and all other required CAT data elements
• Monitor the CAT Reporter Portal for submission status error reports and industry alerts
• Investigate and resolve CAT reporting errors rejections and data quality issues in a timely manner
• Ensure ongoing compliance with CAT Technical Specifications and Industry Member

Technical Specifications

• Coordinate with technology teams on CAT Reporter Agent connectivity and file transmission
• Maintain accurate CAT clock synchronization and FINRA Gateway configurations
• Track and implement regulatory changes related to CAT Phase implementation requirements

Qualifications

• Bachelor's degree in Finance Accounting Business or a related field
• 2+ years of experience in regulatory reporting compliance or operations within a brokerdealer or financial services environment
• Working knowledge of FINRA CAIS and CAT reporting frameworks
• Familiarity with CAT Technical Specifications and FINRA Gateway systems
• Strong analytical and problem-solving skills with high attention to detail
• Ability to manage multiple deadlines in a fast-paced compliance-driven environment
• Proficiency in Microsoft Excel and data reconciliation tools; experience with regulatory reporting platforms a plus

Preferred Skills

• Experience coordinating with technology or IT teams on data transmission and system connectivity
• Knowledge of broker-dealer operations order management systems and trade lifecycle
• Familiarity with FINRA rules and SEC regulations governing audit trail and customer account reporting
• Familiarity with SQL for data querying and analysis
• Familiarity with AI tools and their practical application in a workplace setting
• Strong written and verbal communication skills for cross-functional collaboration and documentation

#compliance #associate #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.

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