Top Finance Jobs

The Portfolio Manager executes daily trading workflows, manages client sessions, ensures compliance, and monitors trade execution quality for sub-advisory clients.

Prepare and manage regulatory filings (FOCUS, 15c3-1/15c3-3), perform reserve and capital charge calculations, reconcile balance sheet accounts, support monthly close, and improve regulatory reporting processes while coordinating with cross-functional teams.

The Senior Compliance Analyst will ensure regulatory compliance, investigate inquiries, guide teams on compliance issues, and maintain procedural integrity, leveraging AI for efficiency.

Lead multi-asset risk management for complex accounts across equities, options, futures, crypto, and FX; own margin methodology (SPAN/TIMS/portfolio margin), autoliquidation logic, product testing, automation, and mentor the Risk team while collaborating with Product, Technology, Operations, and Compliance.

Lead a compliance team to manage regulatory inquiries and examinations, provide regulatory guidance across Trading and Operations, implement controls and QA processes, and train staff to ensure SEC and FINRA compliance for broker-dealer activities.

Lead design and operation of Apex Asset Managements Advisers Act compliance program. Own regulatory filings and SEC/state exams, oversee marketing and solicitation compliance, portfolio/trading controls, vendor due diligence, and training. Partner with Legal, Operations, Product, and enterprise compliance to implement monitoring, testing, and reporting for sub-advisory, co-advisory, and solicitor/promoter arrangements.