Senior Product Manager (Consolidated Audit Trail)

WHO WE ARE

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily to simplify automate and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash Betterment SoFi and Webull and more than 20 million of our clients' customers. 

Collectively AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. As a global organization we have offices in Austin Dallas Chicago New York Portland Belfast and Manila.

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact and you have the guts to change everything this is the place for you. 

AFS has received a number of prestigious industry awards including:

• 2021 2020 2019 and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards

• 2021 Most Innovative Companies - presented by Fast Company

• 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

ABOUT THIS ROLE

We are looking for a Senior Product Manager (Consolidated Audit Trail) to own the Consolidated Audit Trail (CAT) reporting domain—covering every feature component and system required to capture validate enrich and report billions of order-related events to the CAT processor every single day.

If you are energized by complex data pipelines passionate about market structure and regulatory reporting and motivated by the challenge of delivering ultra-high-volume zero-defect solutions this is the role for you. You will shape the strategic vision for CAT and related regulatory reporting (CAIS LTSE blue sheets etc.) ensuring Apex and our clients stay compliant avoid penalties and gain a competitive edge through data-driven insights.

Duties/Responsibilities

• Define and execute the strategy vision and roadmap for Apex’s CAT reporting products with an emphasis on accuracy completeness timeliness and cost-efficient processing of multi-billion-event data sets.

• Immerse yourself in evolving SEC Rule 613 obligations SRO guidance CAIS phases and broader regulatory trends to anticipate change and keep Apex ahead of the curve.

• Establish and track OKRs in partnership with Compliance Legal Engineering Operations and client stakeholders to align product vision with corporate risk-management and growth goals.

• Author and maintain core product artifacts—Annual Operating Plans Product Charters PR-FAQs Narratives—and work cross-functionally to manage dependencies and release schedules.

• Lead requirements elicitation prioritization and refinement to deliver functionality such as intra-day validations error-repair workflows linkage analytics and customer/firm identifications (CAIS).

• Partner closely with engineering teams to manage backlogs monitor sprint progress and rapidly adapt to regulatory clarifications or industry technical specification updates.

• Leverage data—schema-level through executive dashboards—to generate insights that reduce error-correction rates minimize “success but late” reports and lower compliance costs.

• Own the end-to-end product lifecycle: define success metrics (e.g. error rate < 0.1 bps 100 % linkage < 15-minute turnaround) measure performance and iterate relentlessly.

• Maintain a deep understanding of event-driven architectures streaming technologies and API design so you can challenge assumptions and deliver resilient scalable solutions.

• Continuously scout emerging technologies (e.g. real-time validation engines AI-powered anomaly detection) to enhance Apex’s regulatory reporting capabilities and client experience.

Education and/or Experience

• Bachelor’s degree in Computer Science Engineering Information Systems or equivalent practical experience required; MBA or similar business degree is a plus.

• 5 + years in Product Management (or a closely related role) within fintech capital-markets infrastructure reg-tech or cloud/SaaS data platforms—ideally with direct exposure to regulatory or trade-reporting systems.

Required Skills/Abilities

• Communication: Exceptional written and verbal skills; able to translate technical and regulatory complexity into clear priorities for engineers and understandable value propositions for clients.

• Analytical Capability: Advanced proficiency with SQL and BI tools (Looker Tableau PowerBI etc.); comfortable digging into terabyte-scale datasets to uncover root causes and drive decisions.

• Leadership & Influence: Demonstrated ability to align cross-functional teams navigate ambiguity and push initiatives to completion without formal authority.

• Product Development: Full lifecycle ownership in Agile/Scrum environments; experience shipping data-intensive high-availability SaaS products.

• Technical Fluency: Working knowledge of streaming frameworks (Kafka/Kinesis) RESTful APIs data modeling and cloud infrastructure (AWS GCP or Azure).

Other Preferred Qualifications

• Domain Expertise: Hands-on experience with CAT Technical Specifications CAIS phases OATS EBS blue-sheets or other SEC/FINRA reporting regimes.

• Market-Structure Knowledge: Familiarity with U.S. equity and options order lifecycles exchange routing trade reporting facilities (TRF) and clearing workflows.

• Regulatory Insight: Understanding of SEC Rule 613 FINRA supervisory requirements and data-security protocols for PII handling.

• API Design: Experience designing or integrating REST/JSON or FIX-based APIs for trade or compliance data interchange.

Work Environment

• This job operates in a hybrid office environment 3 days per week.

• Up to 20% travel (Apex has a distributed client base and engineering footprint).

#product management #full-time #mid-senior #LI-SG1 #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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