Manager, Trade Compliance

| Chicago, IL, USA | Hybrid
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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

Apex Fintech Solutions is currently seeking to fill the position of Manager, Trade Compliance , which is a management role offering growth opportunities for skilled, highly motivated, and exceptional candidates. The role will report to the Head, Financial Crimes and will help support the firm's adherence to FINRA regulations, the Bank Secrecy Act, USA PATRIOT Act, AML, and related securities laws and regulations.
We are looking for someone who:

  • Thinks strategically and is inquisitive - You are intellectually curious and love finding and solving challenges with creative and simple solutions. You find ways to get things done efficiently without sacrificing quality.
  • Takes initiative and is a high performer - You are driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
  • Recognize the importance of engagement - You understand the difference between leadership and management and can successfully guide your team and key stakeholders to build and maintain state-of-the-art compliance solutions.
  • Have great communication skills - Not only are you articulate when verbally communicating, but you can get the message through in a written format. You also provide alternatives for peers when there is no way possible to compromise regulation requirements.
  • Values the power of the team - You work collaboratively and embrace new ideas and opinions to ensure the team succeeds. Your contributions are not limited to your assigned tasks.
  • Securities Trading Experience - You are organized and understand investment terminology, securities trading, trading and trade surveillance compliance and regulatory requirements. You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with FINRA requirements and maintaining firm integrity.

A few reasons why you might love working here:

  • Our Compliance track record - We have an incredible Compliance track record. We foster a culture of Compliance throughout our firm.
  • Our team is passionate and driven to succeed - We work as a team and build off each other's knowledge and ideas. We encourage growth and give you a platform to succeed.
  • You are open to change - We are not satisfied with the status quo. We are continually changing and looking for someone who is looking to change with us.
  • You will have genuine opportunities for growth - We care about your career goals and provide options for growth. If you are successful, you are likely to be rewarded and recognized, which often happens faster than at a larger firm.

What you will do all day:

  • Oversee and train a team of analysts responsible for reviewing trade compliance and surveillance alerts and ad hoc investigations related to potential trade practice violations.
  • Monitor and manage daily investigative workflow, controls, and metrics for the team and ensure timely completion of tasks.
  • Address escalations from analysts and review and approve Suspicious Activity Reports ("SAR") related to trade surveillance reviews.
  • Identify trade compliance best practices providing regulatory guidance and advice to the trading teams to help ensure regulatory requirements are met.
  • Develop and maintain clear and concise desktop procedures for your team's tasks.
  • Engage senior management across corporate compliance, operations, and information technology to manage, report on, and improve investigative work.
  • Develop a methodology to review and provide guidance on oversight of Controls for trade-related activities.
  • Conduct supervisory reviews and provide constructive coaching and direction to team members.
  • Evaluate risk associated with AML, Financial Crime, and Compliance Risk processes and recommend enhancements, where appropriate.
  • When needed, support and participate in internal, external, and regulatory audits and examinations.

The skills you will need to succeed:

  • Bachelor's degree and/or Associate's degree plus equivalent combination of education, additional certification and/or experience required
  • 5+ years of experience in the trade surveillance functions for a retail and/or institutional broker-dealer (Correspondent Clearing experience strongly preferred)
  • 3+ years of experience in people management
  • FINRA Series 7 and Series 24 licenses required (or ability to complete within 90 days)
  • FINRA Series 3 license, preferred
  • In-depth knowledge of applicable SEC and FINRA equity and fixed-income trading regulations that apply to a Correspondent Clearing Firm
  • Familiarity with Surveyor or other third-party trade monitoring systems is a plus
  • Strong interpersonal and written communication skills
  • Highly motivated with the capability to work with minimum supervision on a wide range of matters
  • Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail
  • Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential

#compliance #mid-senior #full-time #LI-MJ1 #APEX
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
At Apex, we embrace diversity and are dedicated to creating an inclusive and equitable workplace. 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. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.

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141 W Jackson Blvd, Chicago, IL 60604

An Insider's view of Apex Fintech Solutions

What are some things you learned at the company?

Trust in the power of failure; don’t fear it. Failure at some point is inevitable and you cannot succeed if you never take the chance! There is a lesson to be learned in each failure, and it only makes you stronger.


Director, Business Development

What are Apex Fintech Solutions Perks + Benefits

Volunteer in local community
Partners with nonprofits
Open door policy
OKR operational model
Open office floor plan
Flexible work schedule
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Hiring practices that promote diversity
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Pet insurance
Wellness programs
Mental health benefits
Financial & Retirement
401(K) matching
Apex's 401(k) retirement plan match 50% of an employee's contributions up to the first 6% of their eligible compensation.
Company equity
Performance bonus
Charitable contribution matching
Child Care & Parental Leave Benefits
Generous parental leave
Family medical leave
Adoption Assistance
Vacation & Time Off Benefits
Generous PTO
Paid volunteer time
Paid holidays
Paid sick days
Office Perks
Commuter benefits
Company-sponsored outings
Free snacks and drinks
Company-sponsored happy hours
Relocation assistance
Professional Development Benefits
Job training & conferences
Tuition reimbursement
Lunch and learns
Promote from within
Mentorship program
Online course subscriptions available
Paid industry certifications

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