Senior Manager, Compliance

Apex Fintech Solutions Senior Manager, Compliance Reposted 6 Hours AgoSaved Hybrid 2 Locations 140K-175K Annually Senior level 140K-175K Annually Senior levelFintech • Software • Financial ServicesLead design and operation of Apex Asset Managements Advisers Act compliance program. Own regulatory filings and SEC/state exams, oversee marketing and solicitation compliance, portfolio/trading controls, vendor due diligence, and training. Partner with Legal, Operations, Product, and enterprise compliance to implement monitoring, testing, and reporting for sub-advisory, co-advisory, and solicitor/promoter arrangements.Top Skills: CrdIardModel Marketplace PlatformsOmsPmsUma/Sma Platforms