Compliance Manager Job at Apex Clearing (Dallas)

Job Description

Apex Fintech Solutions is seeking a dynamic and effective Manager of Regulatory Compliance to lead and manage a team responsible for addressing regulatory inquiries, firm examinations, and rule interpretations both internally and externally. This position will work closely with various teams to ensure ongoing regulatory compliance and enhance the firm’s standards of compliance. Ideal candidates will be strategic thinkers, high performers, possess excellent communication skills, thrive in a team environment, and have substantial experience in investment securities.

Job Responsibility

Compliance Leadership: Provide training, assistance, advice, and guidance in the review and analysis of daily functions related to both customer and firm business activities
Ongoing Collaboration: Participate proactively in projects and initiatives with various teams, particularly with the Trading and Operations groups
Regulatory Inquiries and Examinations: Play an active role in coordinating timely and accurate responses to various types of regulatory inquiries and participating in regulatory examinations
Standards and Controls Implementation: Assist management in the development and implementation of adequate controls and quality assurance processes

Requirements

Bachelor's degree and/or an associate's degree with a relevant combination of education, certification, and experience
10 years of experience in the compliance functions of a broker-dealer, with Correspondent Clearing experience strongly preferred
5 years of management experience
Deep knowledge and understanding of applicable SEC and FINRA rules and regulations
Proven track record of engaging with multiple regulators and self-regulatory organization (SRO) compliance counterparts
Demonstrated experience in interacting with clients (correspondents) concerning SEC and FINRA rules
Registration as a General Securities Representative and a General Securities Principal (Series 7 & 24) or the ability to obtain within six months
Proficiency and enthusiasm for leveraging artificial intelligence tools and technologies

What we offer

healthcare benefits (medical, dental and vision, EAP)
competitive PTO
401k match
parental leave
HSA contribution match
paid subscription to the Calm app
generous external learning and tuition reimbursement benefits

Apex Clearing - All Job Offers

Select Country

Compliance Manager

Job Description

Job Responsibility

Requirements

What we offer

Looking for more opportunities?