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, and Belfast.
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; a dvanced 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.
Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment
We're looking for all kinds of people.
At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.
Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
What We Do
Apex is a market-leading, technologically independent software company that provides safe, frictionless digital execution, clearing, and storage for the global universe of investable assets. What drives us is creating independence that produces ownership of the data that is used to build community, increase financial literacy, and
eliminate barriers to economic opportunities for the next generation of digital wealth creation.
To do this, our team members live above just doing a job and are those who are building careers. We don’t merely complete tasks at Apex; we have a purpose to be realized. Our colleagues champion why we do what we do.
We each strive to change the world and widen our impact with the breadth and depth of our client base and end investors.
Why Work With Us
We are bold enough to do what needs to be done. Savvy enough to know what that is. Kind and candid enough to tell it like it is every step of the way. We are compelling in our own right but devoted to joint success. We watch our backs. We scout the way ahead. We put ourselves, our team, and our clients in a position to soar.
Gallery
Apex Fintech Solutions Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.