Advisory Compliance Officer

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and WeBull, and more than 20 million of our clients' customers. 

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Los Angeles, Portland, and Belfast. 

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. 

AFS has received a number of prestigious industry awards, including:

• 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards
• 2021 Most Innovative Companies - presented by Fast Company
• 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

 

The Advisory Compliance Officer (ACO) will coordinate with the Enterprise Chief Compliance Officer, Sales Practice Compliance professionals and other members of the Apex Fintech Solutions (AFS) Compliance department to ensure regulatory requirements and industry practices are met with respect to the firm’s provision of trading, clearing, and custody services to Registered Investment Advisers, asset managers, and related service providers to the wealth and investment management industry.

While serving as an Advisory Compliance Officer for AFS, the individual will work closely with the AFS Compliance Sales Practice Compliance team and Advisory business team members to ensure investment management regulations are interpreted and guidance provided to business resources.  The role’s focus will include providing regulatory advice and guidance, policy interpretation, conducting monitoring activities, policy drafting and other related activities to support the sustainable and scalable implementation of the compliance program to ensure that FINRA, SEC, and related industry practices are properly identified, and requirements are met.

Key functions of the Advisory Compliance Officer role include:

Implementation, and oversight of sales practice and related business requirements for a clearing broker dealer supporting investment advisers.

• The ACO will be responsible to review existing WSP, policies, procedures, and related business documents to ensure advisory related business practices meet FINRA and related regulatory requirements.
• Coordinate with Compliance team members and business partners to ensure industry and regulatory best practices are understood and implemented where applicable.
• Serve as primary Compliance subject matter expert to the business regarding providing trading, clearing, and custody services to advisory clients.

Compliance Monitoring 

• The role will identify and implement compliance review and monitoring specific to the support of advisory related compliance requirement and as aligned with Compliance Program governance.
• Coordinate the review, testing, and (as needed) remediation of advisory business controls.
• Working closely with business partners and compliance team members, the ACO will participate in the review of advisory prospects and new clients to help identify unique regulatory or operational risks impacting AFS.  The work requires a strong understanding of how the regulations directly apply to the Apex businesses.

We are looking for someone who:

• Is passionate - You have a genuine passion for people and developing relationships.
• Is motivated - You are driven to be the best.  You challenge yourself by setting goals, crushing them, and helping your teammates do the same.
• Is collaborative - You are excited to work with others throughout the organization to help foster a superior workplace and culture.
• Wants to make an impact - You are looking to do amazing work.  You are all about partnering with executives to drive execution.
• Operates with integrity - You always conduct yourself with honesty and operate ethically.  You say what you mean and mean what you say.
• Wants to grow - This role will constantly change with the needs of the business, be ready to challenge yourself and tackle any task that comes your way.
• Can focus on varying work streams - This rol