Senior Manager, Compliance

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.

At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.

When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.

Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex.

We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received:

• Best Places to Work – 2026, 2025, 2024, 2023 – Presented by Built In
• Wealth Tech of the Year – 2025 – Presented by US Fin Tech Awards
• The World’s Top 250 Fintech Companies – 2024 – Presented by CNBC

Apex Asset Management (AAM) is a Registered Investment Adviser offering investment advisory services through three relationship types: sub-advisory, co-advisory, and solicitor/promoter. AAM provides multiple portfolio options utilizing ETFs, US-listed equities, mutual funds, and model portfolios determined by either the End Investor or the End Investor’s Investment Adviser. AAM leverages the scale and centralized support of Apex Fintech Solutions Inc.

We are seeking a Senior Manager to build, own, and operate AAM’s compliance program for a modern, fast-growing advisory business. This role is the dedicated compliance manager for AAM and partners closely with Apex Fintech Solutions’ centralized compliance team for certain shared-services support. You will serve as the primary point of contact for regulators and internal stakeholders, establishing a robust, right-sized program aligned to the Advisers Act and industry best practices.

• Design, implement, and maintain AAM’s Advisers Act compliance program (Rule 206(4)-7), including risk assessment, policies and procedures, compliance calendar, testing/surveillance, issues management, and the annual review with written reporting to leadership.
• Maintain a comprehensive conflicts of interest inventory and compliance risk register; run or participate in compliance and risk committee meetings; deliver regular compliance reporting/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:
  Form ADV Parts 1 and 2A/2B, Form CRS (as applicable), state notice filings, IARD/CRD maintenance, and investment adviser representative registrations/updates.
• Manage other applicable securities filings and notifications (e.g., Section 13F; large trader) as required by AAM’s activities.
• Serve as the lead for SEC and state examinations and inquiries: readiness, document production, interview prep, responses, and remediation.

• Oversee compliance with the SEC Marketing Rule (Rule 206(4)-1), including review/approval of marketing, performance presentations, testimonials/endorsements, third-party ratings, and web/social content for ETF, equity, mutual fund, and model portfolio strategies.
• Design and oversee solicitor/promoter programs: compliant agreements, disclosures, delivery/acknowledgment processes, compensation reviews, training, and ongoing…