Peak6group
Compliance Manager
Dallas, TX · Full-time
Sponsorship not specifiedDetected 27 days ago
ComplianceLeadershipCommunicationCollaborationProblem SolvingTime Management
About the role
- 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.
Responsibilities
- 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.
- When you're at Apex, you drive this change.
Requirements
- Regulatory Expertise: Deep knowledge and understanding of applicable SEC and FINRA rules and regulations.
- Experience with Regulators & SROs: Proven track record of engaging with multiple regulators and self-regulatory organization (SRO) compliance counterparts on regulatory inquiries and examinations.
- Client Interaction: Demonstrated experience in interacting with clients (correspondents) concerning SEC and FINRA rules and their application to business operations.
- Registration as a General Securities Representative and a General Securities Principal (Series 7 & 24) or the ability to obtain within six months.
- Knowledge, Skills, and Abilities:
- Strategic Thinking: Ability to think strategically and solve challenges with innovative solutions.
- The ability to articulate complex regulatory requirements clearly in both verbal and written forms.
- Organization and Prioritization: Exceptional organizational and time management skills, with the ability to prioritize tasks effectively under pressure and meet deadlines.
- Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job.
- Proven track record of engaging with multiple regulators and self-regulatory organization (SRO) compliance counterparts on regulatory inquiries and examinations.
- Initiative and Performance: High level of initiative and the capability to perform excellently under pressure.
- Communication: Strong interpersonal and written communication skills. The ability to articulate complex regulatory requirements clearly in both verbal and written forms.
- Team Collaboration: Works collaboratively to embrace new ideas and ensure team success, fostering a culture of compliance.
- Motivation and Initiative: Demonstrate strong motivation and the ability to manage multiple matters independently with minimal supervision.
- Leadership: Exemplify exceptional professional standards and ethical conduct, serving as a role model through consistent demonstration of company values, proactive problem-solving, and commitment to excellence in all interactions and deliverables.
- Resource Management: Exercise exceptional stewardship over all firm resources-including financial assets, technology systems, office facilities, and staff time-through sustainable practices that protect and enhance long-term organizational value.
- AI Proficiency: Proficiency and enthusiasm for leveraging artificial intelligence tools and technologies to optimize workflow efficiency, automate routine administrative processes, and eliminate time-consuming manual tasks, thereby enabling greater focus on high-value strategic activities and client service delivery.
Nice to have
- 10 years of experience in the compliance functions of a broker-dealer, with Correspondent Clearing experience strongly preferred.
- 5 years of management experience.
Benefits
- 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.
- Disability Statement
Company info
- 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.
- 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.
- 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.
- Win together.
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