Senior Manager Compliance

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

About Apex Asset Management
Apex Asset Management (AAM) is a Registered Investment Adviser offering investment advisory services through three relationship types: sub-advisory co-advisory and solicitor/promoter. AAM provides multiple portfolio options utilizing ETFs US-listed equities mutual funds and model portfolios determined by either the End Investor or the End Investor’s Investment Adviser. AAM leverages the scale and centralized support of Apex Fintech Solutions Inc.
The Opportunity

We are seeking a Senior Manager to build own and operate AAM’s compliance program for a modern fast-growing advisory business. This role is the dedicated compliance manager for AAM and partners closely with Apex Fintech Solutions’ centralized compliance team for certain shared-services support. You will serve as the primary point of contact for regulators and internal stakeholders establishing a robust right-sized program aligned to the Advisers Act and industry best practices.
What You will Do
 

Program leadership and governance

• Design implement and maintain AAM’s Advisers Act compliance program (Rule 206(4)-7) including risk assessment policies and procedures compliance calendar testing/surveillance issues management and the annual review with written reporting to leadership.
• Maintain a comprehensive conflicts of interest inventory and compliance risk register; run or participate in compliance and risk committee meetings; deliver regular compliance reporting/metrics to AAM and Apex leadership.
• Partner with Legal Operations Product and Technology on governance new initiatives and regulatory requirements.

Regulatory filings and exams

• Own and maintain regulatory filings: Form ADV Parts 1 and 2A/2B Form CRS (as applicable) state notice filings IARD/CRD maintenance and investment adviser representative registrations/updates.
• Manage other applicable securities filings and notifications (e.g. Section 13F; large trader) as required by AAM’s activities.
• Serve as the lead for SEC and state examinations and inquiries: readiness document production interview prep responses and remediation.

Marketing solicitation and communications

• Oversee compliance with the SEC Marketing Rule (Rule 206(4)-1) including review/approval of marketing performance presentations testimonials/endorsements third-party ratings and web/social content for ETF equity mutual fund and model portfolio strategies.
• Design and oversee solicitor/promoter programs: compliant agreements disclosures delivery/acknowledgment processes compensation reviews training and ongoing monitoring.

Portfolio trading and code of ethics

• Oversee portfolio and trading compliance for discretionary and non-discretionary programs: best execution reviews trade aggregation/allocation fairness broker selection use of research/soft dollars (Section 28(e)) trade error handling and valuation governance for managed accounts.
• Maintain Code of Ethics (Rule 204A-1) and related controls: personal trading restricted lists/MNPI gifts and entertainment political contributions/pay-to-play (Rule 206(4)-5).
• Ensure compliant books and records (Rule 204-2) privacy and information security coordination (Reg S-P) with enterprise teams and appropriate recordkeeping for electronic communications.

Relationship-type oversight

• Sub-advisory: conduct diligence and onboarding review IMAs and guidelines define reporting and data-sharing protocols monitor sub-adviser performance/controls coordinate marketing approvals and manage breach/incident escalation.
• Co-advisory: document and monitor delineation of roles/authority disclosures regarding shared or split discretion supervision/testing of shared activities and operational controls across parties.
• Solicitor/promoter: manage end-to-end referral arrangements under the Marketing Rule including agreement terms required disclosures compensation structures delivery evidence and periodic oversight/testing.

Client and model governance

• Establish controls for programs where the End Investor or their Investment Adviser determines the model/strategy: documentation of discretionary vs. non-discretionary authority suitability/appropriateness workflows where applicable client-specific restrictions rebalancing/drift thresholds and error-correction.
• Implement monitoring for guideline compliance and restriction breaches across ETFs equities and mutual funds.
• Third parties data and enterprise collaboration
• Lead vendor and service-provider due diligence and ongoing oversight (e.g. trading/OMS/PMS data tech) coordinating with Apex’s centralized vendor risk cybersecurity privacy and business continuity programs.
• Partner with enterprise compliance to leverage shared services and ensure alignment with enterprise standards while meeting AAM’s specific regulatory obligations.

Training and culture

• Deliver targeted training for investment personnel sales/marketing operations and promoters/solicitors; maintain attestation processes.
• Promote a culture of compliance that enables scale speed to market and strong client outcomes.

What You will Bring

• 7–10+ years of investment adviser/asset management compliance experience including building or running Advisers Act programs.
• Deep knowledge of the Investment Advisers Act and key rules: 206(4)-7 (compliance programs) 206(4)-1 (Marketing) 204-2 (books and records) 204A-1 (Code of Ethics) 206(4)-5 (Pay-to-Play); strong command of best execution trade allocation soft dollars custody considerations privacy (Reg S-P) and state notice filings.
• Direct experience with sub-advisory and co-advisory arrangements and with solicitor/promoter programs including agreement terms disclosure and oversight.
• Proven ability to review and approve marketing and performance materials across ETF equity mutual fund and model portfolio strategies.
• Hands-on leadership of SEC or state exams from readiness through remediation.
• Excellent policy drafting communication and stakeholder management skills; data-driven approach to monitoring and testing.
• Comfortable operating as both strategist and individual contributor; able to influence and execute in a fast-paced environment.
• Experience in fintech or with broker-dealer affiliates and shared-services operating models.
• Familiarity with UMA/SMA platforms model marketplaces and advisor-directed programs.

#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.

Salary Range

The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge skills experience and office location.

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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