Compliance Officer (Regulatory)

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. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, 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 currently seeking an experienced Compliance Officer (Regulatory) to oversee our organization's regulatory compliance functions which include exam management, regulatory change management, and risk corrective action plans. The successful candidate will be responsible for ensuring that all company operations are conducted in compliance with ethical practices, legal standards, and regulatory requirements.

Duties/Responsibilities:

• Monitor and analyze regulatory updates and changes to ensure all compliance policies and procedures are up-to-date

• Direct the preparation and submission of regulatory filings and reports with appropriate agencies

• Manage the response to regulatory inquiries and inspections, and oversee the resolution of compliance issues

• Prepare and present clear and detailed compliance status reports to senior management and relevant committees

Education and/or Experience:

• Bachelor’s degree in Law, Business Administration, Finance, or a related field (or equivalent work experience) is required; advanced degree (e.g., JD, MBA) preferred

• 8+ years of experience in a compliance role within a regulated industry, with significant exposure to exam management, regulatory change management, and risk corrective action plans

• 3+ years of experience as a people manager

• FINRA Series 7 and Series 24 license(s) required (or willingness to obtain)

• Proven track record of successfully managing comprehensive compliance programs

• Previous experience with regulatory bodies and knowledge of their processes is highly desirable

Required Skills:

• Strong leadership and managerial skills to lead the compliance team effectively

• Excellent communication skills, both written and verbal, to articulate complex compliance issues clearly

• Detailed understanding of the regulatory environment and ability to interpret and apply regulatory standards

• Proven analytical and problem-solving skills to effectively handle compliance issues

• High degree of professional ethics and integrity

• Strong organizational skills with the ability to manage multiple priorities and tasks simultaneously

Work Environment:

• This job operates in a hybrid, office environment.

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

​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.