Compliance Manager

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 Provide training, assistance, advice, and guidance in the review and analysis of daily functions related to both customer and firm business activities. 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. Coordinate timely and accurate responses to various types of regulatory inquiries and participate in regulatory examinations, ensuring the firm’s practices align with legal standards and manage workflow related to said inquiries and examinations. 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: General Securities Representative and General Securities Principal (Series7 &24) or ability to obtain within six months. Knowledge, Skills, and Abilities: Strategic Thinking Initiative and Performance Communication Team Collaboration Organization and Prioritization Motivation and Initiative Leadership Resource Management AI Proficiency Benefits Robust package of employee perks and benefits including healthcare benefits (medical, dental, vision, EAP), competitive PTO, 401(k) match, parental leave, and HSA contribution match. Paid subscription to the Calm app and generous external learning and tuition reimbursement benefits. Hybrid work schedule for most roles allowing 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. 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. #J-18808-Ljbffr