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Senior Manager, Compliance at Apex Fintech Solutions - ApplyBlast

Senior Manager, Compliance

Apex Fintech Solutions

4 months ago

3.8 on Glassdoor

Austin, TX

Hybrid

Full Time

Senior

0 applicants

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About this role

Apex Asset Management seeks a Senior Manager to build and lead a comprehensive compliance program aligned with the Advisers Act and industry best practices. This role serves as the primary point of contact for regulators, overseeing regulatory filings, exams, marketing compliance, portfolio trading standards, and relationship-type oversight. The Senior Manager will partner closely with enterprise teams while establishing robust controls for a modern, fast-growing digital wealth platform.

Responsibilities

Design and maintain AAM's Advisers Act compliance program and governance structure
Own regulatory filings such as Form ADV Parts 1 and 2A/2B and Form CRS
Lead readiness and remediation for SEC and state examinations and inquiries
Oversee compliance for marketing, solicitation, best execution, and trading practices
Manage sub-advisory, co-advisory, and solicitor/promoter relationship oversight

Skills

Qualifications

7–10+ years of investment adviser/asset management compliance experienceDeep knowledge of Investment Advisers Act and key rulesDirect experience with sub-advisory and co-advisory arrangementsProven ability to lead SEC or state examsExperience in fintech or with broker-dealer affiliates

About Apex Fintech Solutions

apexfintechsolutions.com

Headquarters

Dallas, Texas, United States

Company Size

501-1000 employees

Founded

2012

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Uncover cloud-native wealth tech solutions and digital investing platforms from Apex. Power your financial institution’s growth—explore our technology today.