WHO WE AREApex 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, 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 Awards2021 Most Innovative Companies - presented by Fast Company2021 Best API & Best Trading Technology - presented by Global Fintech AwardsABOUT THIS ROLEThe Senior Manager, Compliance Testing will be focused on leading and managing a team responsible for compliance testing program which includes creating testing plans, ensuring that business activities and processes and rules and regulations are in sync, lead risk assessments across the functional areas, identifies weaknesses and provide advice for remediation, resource assessments, and etc.Duties/Responsibilities:Represents and supports the representation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company and legal standardsEvaluates the risk control assessment of current controls against the risk appetite to understand the underlying risks for escalationPerforms review of testing plans, monthly reporting, and other testing-related documents, and provides recommendations to management that influence business solutionsResponsible for the overall direction, coordination, implementation, and execution of the Compliance Testing program including planning, reporting of results, procedure formation, and short-term/long term resource planningResponsible for ensuring that all of the company's activities adhere to the necessary rules and regulations, and that the company complies with legal/regulatory statutes and jurisdictionsEducation and/or Experience: Bachelor's degree and/or associate's degree plus equivalent combination of education, additional certification and/or experience.8 years of experience in the compliance/risk testing functions of a broker-dealer. Correspondent Clearing experience strongly preferred3 years of management experienceFINRA licensed or comparable certifications preferredExperience with implementation and overseeing of compliance testing programs with key controls identified, quantitative and qualitative analysis, and communicating end resultsKnowledge of applicable SEC and FINRA rules and able to interact with several stakeholders with expertise and assistance of policies and key controlsRequired Skills/Abilities:Strong interpersonal and written communication skillsProactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.Ability to prioritize and multitask effectively under pressure and excellent organizational and time management skills are essential.Ability to manage direct reports people remotely and in the officeWork Environment: This job operates in an office environment.Please note this is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.compliance mid-senior full-time LI-BS1 AFSUKOur 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.Diversity, Equity, Inclusion, and Belonging (DEIB) CommitmentWe're looking for all kinds of people.At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.