Senior Manager, Compliance

Apex

Hybrid

Quick summary

Work type
Hybrid
Location
Dallas, TX
Salary
$139,600–$174,500 / yr
Posted
5 days ago
Nearby
99+ roles within 25 mi

Market check

Salary context

Below market

How this pay compares to similar roles

Similar $187k
This role $157k
$130k most similar roles pay here $230k

This role pays less than 78% of similar roles. Most pay $161,725–$213,100 — the shaded band above. At the midpoint, this role pays about $157k versus about $187k for comparable roles.

Based on 240 similar postings.

Employer

About Apex

Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure

Apex currently has 34 open roles on FindRole.

Listed pay typically runs $134,400–$168,000 across 8 roles with salary data.

Most-posted roles

View all roles at Apex

At a glance

TL;DR · Senior Manager, Compliance

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As a Senior Manager at Apex Asset Management, you will lead and oversee the compliance program for AAM’s fast-growing advisory business, partnering closely with Apex Fintech Solutions’ centralized compliance team. Your responsibilities include designing and maintaining AAM’s Advisers Act compliance program, managing regulatory filings, overseeing marketing and solicitation activities under SEC rules, ensuring portfolio and trading compliance, and handling sub-advisory, co-advisory, and solicitor/promoter relationships. You will also establish client governance controls, lead vendor due diligence, and deliver training to promote a culture of compliance. This role requires extensive experience in investment adviser/asset management compliance, deep knowledge of the Investment Advisers Act, and proficiency with UMA/SMA platforms and advisor-directed programs.

Skills

Investment Advisers Act SEC Marketing Rule Reg S-P Python SQL Excel Compliance Programs CI/CD Kubernetes AWS Terraform Docker Prometheus Grafana

What you'll do

  • Design and maintain AAM’s compliance program under the Advisers Act.
  • Own regulatory filings including Form ADV and state notice filings.
  • Lead SEC and state examinations, manage document production and remediation.
  • Oversee marketing compliance for various investment strategies and third-party ratings.
  • Manage portfolio trading compliance, best execution reviews, and trade error handling.
  • Coordinate sub-advisory, co-advisory, and solicitor/promoter programs oversight.

What we're looking for

  • 7+ years of investment adviser/asset management compliance experience.
  • Deep knowledge of the Investment Advisers Act and key rules (206(4)-7, 206(4)-1, etc.).
  • Direct experience with sub-advisory, co-advisory arrangements, and solicitor/promoter programs.
  • Proven ability to review and approve marketing materials for various investment strategies.
  • Hands-on leadership in managing SEC or state exams from readiness through remediation.
  • Excellent policy drafting, communication, and stakeholder management skills.

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