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 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.

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.