ABOUT THIS ROLEApex 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.
Key Responsibilities:- 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, to provide regulatory guidance and ensure the integration of compliance within daily functions.
- 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, ensuring the firm's practices align with legal standards. This includes the management of workflow related to said inquiries and examinations.
- Standards and Controls Implementation: Assist management in the development and implementation of adequate controls and quality assurance processes to identify and prevent potential compliance issues early.
Education and Experience:- 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.
Qualifications:- 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.
- 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.
- Organization and Prioritization: Exceptional organizational and time management skills, with the ability to prioritize tasks effectively under pressure and meet deadlines.
- 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.
#compliance #mid-senior #full-time #LI-MJ1 #APEX
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. Duties, responsibilities, and activities may change at any time with or without notice.
Our RewardsWe 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. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.
