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.

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.