Job Description
WHO WE ARE
Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers.
At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest.
When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees.
Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex.
We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received:
Best Places to Work
2026, 2025, 2024, 2023 - Presented by BuiltIn
WealthTech of the Year
2025 - Presented by US FinTech Awards
The World’s Top 250 Fintech Companies
2024 - Presented by CNBC
ABOUT THIS ROLE
We are looking for a motivated professional to manage critical regulatory reporting functions for our firm. The Regulatory Reporting Specialist will be responsible for ensuring full compliance with FINRA's Customer & Account Information Systems (CAIS) submissions and Consolidated Audit Trail (CAT) reporting requirements. The ideal candidate is detail-oriented, deadline-driven, and possesses a strong understanding of broker-dealer regulatory obligations.
Key Responsibilities
CAIS Reporting (Customer & Account Information Systems)
Ensure timely reporting of new accounts, account updates, and account closures in accordance with FINRA requirements
Validate customer data elements including personally identifiable information (PII), tax identification numbers, and account characteristics
Reconcile CAIS submissions against internal records and customer databases to ensure data integrity
Address CAIS error notifications promptly and resubmit corrected files as needed
Maintain thorough documentation of CAIS reporting methodologies and data mappings
CAT Reporting (Consolidated Audit Trail)
Oversee daily submission of order events, trade events, and all other required CAT data elements
Monitor the CAT Reporter Portal for submission status, error reports, and industry alerts
Investigate and resolve CAT reporting errors, rejections, and data quality issues in a timely manner
Ensure ongoing compliance with CAT Technical Specifications and Industry Member
Technical Specifications
Coordinate with technology teams on CAT Reporter Agent connectivity and file transmission
Maintain accurate CAT clock synchronization and FINRA Gateway configurations
Track and implement regulatory changes related to CAT Phase implementation requirements
Qualifications
Bachelor's degree in Finance, Accounting, Business, or a related field
2+ years of experience in regulatory reporting, compliance, or operations within a brokerdealer or financial services environment
Working knowledge of FINRA CAIS and CAT reporting frameworks
Familiarity with CAT Technical Specifications and FINRA Gateway systems
Strong analytical and problem-solving skills with high attention to detail
Ability to manage multiple deadlines in a fast-paced, compliance-driven environment
Proficiency in Microsoft Excel and data reconciliation tools; experience with regulatory reporting platforms a plus
Preferred Skills
Experience coordinating with technology or IT teams on data transmission and system connectivity
Knowledge of broker-dealer operations, order management systems, and trade lifecycle
Familiarity with FINRA rules and SEC regulations governing audit trail and customer account reporting
Familiarity with SQL for data querying and analysis
Familiarity with AI tools and their practical application in a workplace setting
Strong written and verbal communication skills for cross-functional collaboration and documentation
#compliance #associate #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 Rewards
We 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.
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.