PEAK6

Compliance

• Build, own, and operate AAM’s compliance program for a modern, fast-growing advisory business.
• Serve as the primary point of contact for regulators and internal stakeholders.
• Establish a robust, right-sized program aligned to the Advisers Act and industry best practices.
• Design, implement, and maintain AAM’s Advisers Act compliance program (Rule 206(4)-7), including risk assessment, policies and procedures, compliance calendar, testing/surveillance, issues management, and the annual review with written reporting to leadership.
• Maintain a comprehensive conflicts of interest inventory and compliance risk register.
• Run or participate in compliance and risk committee meetings; deliver regular compliance reporting/metrics to AAM and Apex leadership.
• Own and maintain regulatory filings: Form ADV Parts 1 and 2A/2B, Form CRS, state notice filings, IARD/CRD maintenance, and investment adviser representative registrations/updates.
• Manage other applicable securities filings and notifications as required by AAM’s activities.
• Serve as the lead for SEC and state examinations and inquiries: readiness, document production, interview prep, responses, and remediation.
• Oversee compliance with the SEC Marketing Rule (Rule 206(4)-1).

Senior Manager, Compliance

Sales Engineer

• Effectively communicate the technical capabilities of our SaaS solutions to financial institutions and fintech companies during the sales process through presentations, demonstrations, and pilot implementations.
• Collaborate with clients and internal teams to understand technical and business requirements, crafting tailored solutions that deliver measurable value.
• Develop strong, confidence-building relationships with key stakeholders, enabling frictionless product adoption and reinforcing AFS’s reputation as a trusted partner.
• Partner with Product, R&D, and Marketing teams to provide client feedback, influence roadmap prioritization, and execute go-to-market strategies.
• Educate customers through training sessions, onboarding support, and ongoing technical coaching to drive successful product adoption.
• Stay current on industry trends, emerging technologies, and the competitive landscape, using insights to inform strategy and improve customer engagement.

Product Marketing

• Conduct thorough market research to assess where our products stand compared to competitors in terms of positioning, messaging, and value proposition.
• Analyze trends, customer feedback, competitor strategies, and other data to provide actionable insights to the Product Marketing, Product, and Commercial teams.
• Contribute to product prioritization decisions by using data to assess strategic and product fit in specific market segments and suggest potential areas for growth.
• Assist in the development of product briefs and GTM plans with internal and external stakeholders, including sales, product development, and marketing teams.
• Support the creation of presentations, one-pagers, and other materials required by the team to communicate key strategies.
• Collaborate cross-functionally to ensure alignment between teams such as Product Development, Sales, and Marketing during strategic planning.
• Develop monitoring dashboards, AI tools, analytics, and related processes to track product development priorities and initiative progress.

Product Marketing Intern

• Perform CIP reviews of accounts introduced to Apex Clearing Corporation
• Review client-provided documentary verification to determine whether an account meets the organization's CIP requirements
• Utilize Third Party Vendors and open sources to review negative news on potential end clients
• Heavily rely on research skills to assess whether potential clients and/or end customers are confirmed matches to derogatory news
• Document findings effectively and thoroughly within the firm's systems

Compliance Analyst – CIP

Business Analyst

• Serve as the primary point of contact for clients.
• Manage partner firm and end investor escalations, ensuring timely and effective resolution.
• Support inquiries related to Operations, collaborating with internal teams to address customer queries and resolve issues.
• Create and maintain system documentation to ensure clarity and consistency in processes.
• Strictly adhere to established procedures and security controls to safeguard customer information and assets.
• Maintain ownership of key supervisory checklists, ensuring adherence to compliance requirements and operational standards.
• Support business process improvement initiatives and ad hoc projects.

Service Management Analyst

Data Engineer

• Lead and manage the Data Lake engineering team, driving technical initiatives from conception to production while ensuring alignment with business objectives, platform scalability requirements, and delivery timelines
• Partner with cross-functional stakeholders including product managers, data scientists, and business leaders to define scope, objectives, and technical deliverables throughout the data platform lifecycle
• Build and mentor a high-performing team of data engineers, fostering a teaching and learning culture
• Facilitate Agile ceremonies including sprint planning, retrospectives, and PI Planning
• Own the technical strategy and architecture for our data lake infrastructure
• Identify and proactively mitigate technical and operational risks
• Coordinate resource allocation and work prioritization across multiple initiatives
• Establish and enforce data engineering best practices, governance standards, and security protocols

Manager, Data Engineering

Director

• oversee all portfolio management operations for AIM's sub-advisory clients
• execute daily trading workflow from preparation to end-of-day reconciliation
• manage separate, isolated trading sessions for each RIA client
• review and approve algorithmic trade proposals
• conduct comprehensive trade reviews
• monitor portfolio exposures, concentration limits, and trading thresholds
• ensure compliance with securities regulations and firm policies
• support onboarding of new RIA clients

Director, Head of RIA Portfolio Management

Accounting Manager

• Post daily cash receipts – including checks, ACH transfers, credit card payments, and other payment methods – to the correct policyholder accounts accurately and within the clients' contractual agreements
• Reconcile payments to invoices and identify discrepancies
• Research and resolve unapplied, misapplied, or unidentified payments promptly
• Process adjustments, refunds, policy cancellations, and chargebacks as needed
• Review and balance daily cash posting batches and reconcile totals with bank activity
• Maintain detailed and accurate transaction records
• Ensure compliance with company policies and financial controls
• Work closely with billing, underwriting, claims, and customer service departments to resolve payment-related issues
• Provide assistance to internal teams, customers, or agents regarding payment inquiries, overdue premiums, and account status
• Engage with internal teams to support business objectives and continuous improvement initiatives
• Contribute to cross-functional projects to streamline and enhance accounting and payment operations
• Serve as a point of contact for payment processing questions and escalations
• Reconcile cash batches and payment activity with bank statements and internal records
• Assist with the identification and resolution of payment discrepancies across internal and external clients
• Ensure full adherence to all regulatory, reporting, and internal control requirements
• Support audit requests by providing documentation and transaction detail as needed

Accounting Analyst

Product Manager

• Independently own Apex's Digital Assets product line spanning stablecoin funding, tokenization of equities, and crypto trading
• Define vision, strategy, and a multi-quarter roadmap that delivers material outcomes
• Lead discovery by synthesizing client feedback, usage data, market signals, and competitive intelligence in the digital assets space into clear problem statements and hypotheses
• Set product OKRs/KPIs and operating mechanisms (intake, prioritization, governance, release planning) for a net-new digital assets organization
• Establish and enforce quality, reliability, security, and compliance guardrails appropriate for regulated digital asset products
• Develop compelling business cases

Senior Product Manager – Digital Assets

Accounts Payable

• Manage the AP inbox end-to-end — receiving, routing, and processing vendor invoices accurately and on time
• Own and maintain the payment calendar, ensuring all obligations are tracked, scheduled, and executed
• Code invoices and expenses to the correct accounts and import into NetSuite
• Reconcile AP activity and resolve discrepancies with vendors
• Track and categorize expenses across the family office umbrella with a high degree of accuracy
• Manage subscriptions, memberships, and recurring expenses — maintaining a clear, current inventory and flagging cost-saving opportunities
• Process and reconcile employee expense reimbursements
• Prepare regular expense reports and support month-end close processes including balance sheet reconciliations and financial statement preparation as needed
• Actively look for ways to leverage technology — including AI tools — to automate repetitive tasks, reduce manual work, and improve accuracy
• Bring a continuous improvement mindset: if a process can be done smarter or faster, we want to hear about it
• Help evaluate and implement tools that increase efficiency across the AP and expense management workflow
• Contribute to month-end close processes including balance sheet reconciliations and financial statement preparation as needed
• Support the family office team on ad hoc projects, analysis, and reporting

Accounts Payable Specialist

Full-stack Engineer

• Design, develop, test, deploy, maintain, peer-review, and continuously tune high-performance, high-throughput software.
• Collaborate with other members of the team to share, learn, develop, and deliver designs and coding standards to meet the growing needs of the platform.
• Build resilient, self-scaling, self-healing services that deliver the highest level of reliability.
• Support the production systems that you design. This includes building, deploying (CI/CD), and monitoring (DataDog, Grafana, Prometheus, PagerDuty).
• Write commercial grade, well-tested code, and maintain high code-quality standards across your team through code reviews and other best practices.
• Implement instrumentation to maintain observability to proactively visualize opportunities for improvement.

Senior Manager, Compliance

Sales Engineer

Product Marketing Intern

Compliance Analyst – CIP

Service Management Analyst

Service Management Analyst

Manager, Data Engineering

Director, Head of RIA Portfolio Management

Accounting Analyst

Senior Product Manager – Digital Assets

Accounts Payable Specialist

Senior Software Engineer – Trade Execution