Senior Manager, Compliance

PEAK6

Senior Manager for compliance program at Apex Asset Management in a fast-growing advisory business. Overseeing compliance, regulatory filings, and leading examinations for financial advisory services.

Posted 6/10/2026full-timeAustin • Illinois, Texas • 🇺🇸 United StatesSenior💰 $139,600 - $174,500 per yearWebsite

About the role

Key responsibilities & impact

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).

Requirements

What you’ll need

7–10+ years of investment adviser/asset management compliance experience, including building or running Advisers Act programs.
Deep knowledge of the Investment Advisers Act and key rules: 206(4)-7 (compliance programs), 206(4)-1 (Marketing), 204-2 (books and records), 204A-1 (Code of Ethics), 206(4)-5 (Pay-to-Play);
Strong command of best execution, trade allocation, soft dollars, custody considerations, privacy (Reg S-P), and state notice filings.
Direct experience with sub-advisory and co-advisory arrangements and with solicitor/promoter programs, including agreement terms, disclosure, and oversight.
Proven ability to review and approve marketing and performance materials across ETF, equity, mutual fund, and model portfolio strategies.
Hands-on leadership of SEC or state exams from readiness through remediation.
Excellent policy drafting, communication, and stakeholder management skills; data-driven approach to monitoring and testing.
Comfortable operating as both strategist and individual contributor; able to influence and execute in a fast-paced environment.
Experience in fintech or with broker-dealer affiliates and shared-services operating models.
Familiarity with UMA/SMA platforms, model marketplaces, and advisor-directed programs.

Benefits

Comp & perks

healthcare benefits (medical, dental and vision, EAP)
competitive PTO
401k match
parental leave
HSA contribution match
paid subscription to the Calm app
generous external learning and tuition reimbursement benefits

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance program managementrisk assessmentpolicy draftingregulatory filingsSEC examinationsAdvisers Act compliancemarketing complianceperformance material reviewdata-driven monitoringstakeholder management

Soft Skills

leadershipcommunicationinfluencingstrategic thinkingindividual contributionproblem-solvingcollaborationadaptabilityattention to detailorganizational skills