Senior Manager, Compliance

About Apex Asset Management Apex Asset Management (AAM) is a Registered Investment Adviser offering investment advisory services through sub‑advisory, co‑advisory, and solicitor/promoter relationships. AAM leverages the scale and centralized support of Apex Fintech Solutions, Inc., providing multiple portfolio options built on ETFs, U.S.‑listed equities, mutual funds, and model portfolios selected by end investors or their advisors. Opportunity We are seeking a Senior Manager to build, own, and operate AAM’s compliance program for a modern, fast‑growing advisory business. The role serves as the primary point of contact for regulators and internal stakeholders and partners with Apex Fintech Solutions’ centralized compliance team for shared‑services support. Responsibilities Lead the design, implementation, and ongoing maintenance of AAM’s Advisers Act compliance program (Rule206(4)-7), including risk assessment, policies, procedures, compliance calendar, surveillance, issue management, and annual review. Maintain a comprehensive conflicts‑of‑interest inventory and compliance risk register; run or participate in compliance and risk committee meetings; deliver regular compliance reporting and metrics to AAM and Apex leadership. Partner with Legal, Operations, Product, and Technology on governance, new initiatives, and regulatory requirements. Own and maintain regulatory filings: FormADV Parts1 and2A/2B, FormCRS (as applicable), state notice filings, IARD/CRD maintenance, and investment adviser representative registrations/updates. Manage other required securities filings such as Section13F or large‑trader notifications. Serve as the lead for SEC and state examinations and inquiries, ensuring readiness, producing documentation, preparing interviewees, responding to inquiries, and driving remediation actions. Oversee compliance with the SEC Marketing Rule (Rule206(4)-1), including review and approval of marketing materials, performance presentations, testimonials, third‑party ratings, and web or social content for all investment strategies. Design and oversee solicitor/promoter programs: compliant agreements, disclosures, delivery/acknowledgment processes, compensation reviews, training, and ongoing monitoring. Oversee portfolio and trading compliance for discretionary and non‑discretionary programs—best‑execution reviews, trade aggregation/allocation fairness, broker selection, research and soft‑dollar usage, trade error handling, and valuation governance. Maintain the Code of Ethics (Rule204A-1) and related controls, including personal trading, restricted lists/MNPI, gifts and entertainment, and political contribution pay‑to‑play rules. Ensure compliant books and records (Rule204‑2), privacy and information security coordination (RegS‑P), and appropriate record‑keeping for electronic communications. Provide oversight for sub‑advisory, co‑advisory, and solicitor/promoter relationship models, including due diligence, onboarding, performance monitoring, agreement terms, disclosure, and incident escalation. Lead vendor and service‑provider due diligence and ongoing oversight, coordinating with Apex’s vendor risk, cybersecurity, privacy, and business continuity programs. Deliver targeted compliance training and maintain attestation processes for investment personnel, sales/marketing, operations, and promoters/solicitors; promote a culture of compliance across the organization. Qualifications 7–10+ years of investment adviser/asset‑management compliance experience, with a proven record of building or running Advisers Act programs. Deep knowledge of key Advisers Act rules, including 206(4)-7, 206(4)-1, 204-2, 204A-1, and 206(4)-5; strong command of best execution, trade allocation, soft dollars, custody, privacy (RegS‑P), and state notice filings. Direct experience with sub‑advisory, co‑advisory, and solicitor/promoter arrangements, including agreement terms, disclosure, and oversight. Proven ability to review and approve marketing and performance materials for ETFs, equities, mutual funds, and model portfolios. Hands‑on leadership of SEC or state examinations from readiness through remediation. Excellent policy drafting, communication, and stakeholder management skills; data‑driven analytical approach. Comfortable operating as both strategist and individual contributor; able to influence and execute in a fast‑paced environment. Experience in fintech or broker‑dealer affiliates and shared‑services operating models; familiarity with UMA/SMA platforms, model marketplaces, and advisor‑directed programs. Rewards Competitive base salary (range $139,600–$174,500) plus performance incentives. Robust benefits package: medical, dental, vision, EAP, competitive PTO, 401(k) match, parental leave, and HSA contribution match. Paid subscription to Calm; generous external learning and tuition reimbursement. Hybrid work schedule with flexibility to work from home and from selected 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. #J-18808-Ljbffr Apex Fintech Solutions UK Ltd.