Manager, Compliance

WHO WE ARE

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. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila.

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

ABOUT THIS ROLE

We are currently seeking a diligent and detail-oriented Manager, Compliance to join our compliance team. This role involves overseeing and ensuring our company adheres to legal standards and in-house policies. The manager will be responsible for reviewing, developing, and maintaining policies that comply with external regulations. This role requires a high level of discretion and integrity in handling confidential information and assisting the company in managing its operational and regulatory risk effectively. 

Duties/Responsibilities

• Collaborate with various departments to ensure that policies are understood and implemented effectively. 

• Assist in the training and development of staff on compliance issues and the importance of adhering to policies. 

• Prepare and present reports that reflect compliance activities and project statuses. 

• Coordinate logistics and oversee day to day activities of the compliance team in Manila office to ensure deliverables are met timely 

• Assist with specific and special projects assigned across the compliance org 

Education and/or Experience

• Bachelor's degree in Law, Business Administration, Finance, or a related field (or equivalent work experience) required

• 5+ years of experience in compliance, legal, or regulatory affairs. 

• 3+ years managing cross functional teams

• Prior experience in global business environments preferred
   

Required Skills/Abilities

• Knowledge of standard industry practices and professional standards. 
  Strong analytical and critical thinking skills

• Strong attention to detail and a high level of accuracy

• Strong organizational and time management skills. 

• Excellent verbal and written communication skills

• Proficient in using Microsoft Office applications, compliance management software, and other related technology

• Ability to manage multiple projects with overlapping tasks and work independently with minimal supervision

Work Environment

• This job operates in a hybrid, office environment 2 days per week.

#compliance #mid-senior #full-time #LI-AP1 #AFSPH

​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 Rewards

We offer a robust package of employee perks and benefits, including a market-leading salary with an annual bonus, 20 days of vacation leave plus regular and special non-working holidays, and a training and development budget. Our benefits also cover private health insurance for medical and dental, as well as life insurance. We emphasize work-life balance with flexible working hours, parental leave, a modern city center office, and a hybrid work schedule that allows for greater flexibility by partially working from home. Additional perks include monthly team lunch-outs, unlimited drinks and snacks, and company recognition & rewards.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race, color, religion, sex (including pregnancy, sexual orientation, and gender identity), national origin, age, disability, veteran status, marital status, or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates, including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process, please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.