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Exhibit 4: Chief Compliance Officer at Apex Fintech Solutions (PEAK6 Careers) — Case 1:21-md-02989-CMA, Document 435-5

Summary

Exhibit 4 (Document 435-5) in Case 1:21-md-02989-CMA, entered on the FLSD docket November 5, 2021, is a six-page printout, dated 11/4/21, of a PEAK6 Careers job posting for a Chief Compliance Officer at Apex Fintech Solutions, New York, NY. The posting describes an opportunity to join a growing Fin-Tech firm headquartered in Downtown Dallas, lead a growing business division and design the strategy for the firm, and seeks a candidate who is passionate, collaborative, wants to make an impact and operates with integrity. It lists duties to protect the firm by ensuring compliance in all aspects of business, maintain positive relationships with regulators and lead compliance, and calls for a strong understanding of market structure, including trading, reporting and clearing.

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Date
2021-11-05

Cite this document

“Exhibit 4: Chief Compliance Officer at Apex Fintech Solutions (PEAK6 Careers) — Case 1:21-md-02989-CMA, Document 435-5.” Original at archive.org, dated 2021-11-05. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/2021-11-05-covid-era-misc-d6cd9b54-1/, SHA-256 d6cd9b5484114349983d12b389c0e4fa845d19767de2fdd64c84d6a43c9f729c.

Full text

EXHIBIT 4
Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 1 of 6

11/4/21, 12:40 PM
Chief Compliance Officer at Apex Fintech Solutions | PEAK6 Careers
https://careers.peak6.com/jobs/compliance-legal-and-risk/chicago-il-/chief-compliance-officer/3362418?gh_jid=3362418#/
1/5
All Jobs (/all-openings)
/
Compliance, Legal, and Risk (/all-openings?categories=Compliance, Legal, and Risk)
/
Chief Compliance Officer
Chief Compliance Officer
Apex Fintech Solutions
888 7th Avenue
32nd Floor
New York, NY 10106
Apply now

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This is an opportunity for a Chief Compliance Officer to come join an exciting and growing Fin-Tech firm
headquartered in the heart of Downtown Dallas. Lead a growing business division and design the strategy for
the firm.
We’re looking for someone who:
Is passionate. You have a genuine passion for both technology and compliance
Is collaborative. You’re excited to work with others throughout the organization to help maintain
compliance and education
Wants to make an impact. You’re looking to do amazing work. Positively drive your team towards success
and protect the firm
Operates with integrity. You always conduct yourself with honesty and operate ethically. You say what you
mean, and mean what you say
What you’ll do all day:
Protect the firm. Ensure the firm remains compliant in all aspects of business. It is important to
understand the governing rules and regulations and have positive relationships with regulators
Lead Compliance. Create and implement a strategy that will have a dynamic impact on the compliance
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Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 2 of 6

11/4/21, 12:40 PM
Chief Compliance Officer at Apex Fintech Solutions | PEAK6 Careers
https://careers.peak6.com/jobs/compliance-legal-and-risk/chicago-il-/chief-compliance-officer/3362418?gh_jid=3362418#/
2/5
department and firm
Grow Talent. Take the compliance team members to the next level by grooming them for the next level in
their career
A few reasons why you might love us:
We’re a leader in the space. Apex is recognized for disrupting the financial services industry, enabling
fintech standouts like Stash, Robinhood and Betterment. We’ve got an amazing track record of success
and we foster ongoing innovation. So you get all the benefits of a proven, growing company, while enjoying
a very entrepreneurial culture
The team is really motivating. You’ll work with people who are as energetic, smart, and determined as you
are. You’ll be managed by the best, too.
Your work will be immediately impactful. You’ll be able to see your direct impact on our growth. You won’t
be just another cog in the wheel.
And a few reasons why you may not like working for us:
You don’t like change. This is not a job for someone who likes ‘predictable’. Our team wears many hats and
has to go with the flow to deliver for the business.
You’re not the collaborative type. We work together to ensure the best possible solutions for our internal
teams. If you’re looking to hide out and do your own thing, this might not be the right spot.
The skills you’ll need to succeed:
10+ years of compliance experience
3-5 years of managerial experience
Deep industry knowledge of the clearing space
Series 14 and 24 required; Series 3 preferred
Established relationships with regulators
Ability to lead a large compliance department
A strong understanding of market structure, including trading, reporting, and clearing
Experience in the financial markets
Experience responding to regulatory inquiries
Strong communication and interpersonal skills
A track record of working with and advising senior business partners on compliance matters
The ability to advise on regulatory changes and developments
Experience in drafting policies, procedures, and manuals, along with preparing reports for regulatory
bodies and internal management
An analytical mind, and the ability to solve complex problems and streamline processes


About Us (https://peak6.com/about-us/)
Our Brands 
Careers 
News (https://peak6.com/news/)
Stories (https://peak6.com/stories/)
Contact Us (https://peak6.com/contact-us/)
Search

 
(https://peak6.com)
FINTECH IN ACTION - Become a
change agent for racial equality
(https://www.fintechinaction.com)
Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 3 of 6

11/4/21, 12:40 PM
Chief Compliance Officer at Apex Fintech Solutions | PEAK6 Careers
https://careers.peak6.com/jobs/compliance-legal-and-risk/chicago-il-/chief-compliance-officer/3362418?gh_jid=3362418#/
3/5
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About Us (https://peak6.com/about-us/)
Our Brands 
Careers 
News (https://peak6.com/news/)
Stories (https://peak6.com/stories/)
Contact Us (https://peak6.com/contact-us/)
Search

 
(https://peak6.com)
FINTECH IN ACTION - Become a
change agent for racial equality
(https://www.fintechinaction.com)
Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 4 of 6

11/4/21, 12:40 PM
Chief Compliance Officer at Apex Fintech Solutions | PEAK6 Careers
https://careers.peak6.com/jobs/compliance-legal-and-risk/chicago-il-/chief-compliance-officer/3362418?gh_jid=3362418#/
4/5
Share this job with your network:

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About Us (https://peak6.com/about-us/)
Our Brands 
Careers 
News (https://peak6.com/news/)
Stories (https://peak6.com/stories/)
Contact Us (https://peak6.com/contact-us/)
Search

 
(https://peak6.com)
FINTECH IN ACTION - Become a
change agent for racial equality
(https://www.fintechinaction.com)
Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 5 of 6

11/4/21, 12:40 PM
Chief Compliance Officer at Apex Fintech Solutions | PEAK6 Careers
https://careers.peak6.com/jobs/compliance-legal-and-risk/chicago-il-/chief-compliance-officer/3362418?gh_jid=3362418#/
5/5


About Us (https://peak6.com/about-us/)
Our Brands 
Careers 
News (https://peak6.com/news/)
Stories (https://peak6.com/stories/)
Contact Us (https://peak6.com/contact-us/)
Search

 
(https://peak6.com)
FINTECH IN ACTION - Become a
change agent for racial equality
(https://www.fintechinaction.com)
Case 1:21-md-02989-CMA   Document 435-5   Entered on FLSD Docket 11/05/2021   Page 6 of 6

File and source

File
gov.uscourts.flsd.590042.435.5.pdf
Size
1,146,277 bytes
SHA-256
d6cd9b5484114349983d12b389c0e4fa845d19767de2fdd64c84d6a43c9f729c
Our copy
gov.uscourts.flsd.590042.435.5.pdf
Original
archive.org
  1. Plaintiffs' Opposition to Defendants Robinhood Markets, Inc., Robinhood Financial LLC, and Robinhood Securities, LLC's… (Dkt. 436)same docket · 2021-11-05
  2. Defendant Apex Clearing Corporation's Reply in Support of Its Rule 12 Motion to Dismiss Plaintiffs' Amended… (Dkt. 440)same docket · 2021-11-19
  3. Plaintiffs' Memorandum of Law in Opposition to the Motion to Dismiss of Defendant Apex Clearing Corp. in the Other… (Dkt. 435)same docket · 2021-11-05
  4. THIS CAUSE came before the Court on the An titrust Plaintiffs ’ Motion to Strikesame docket · 2021-11-04
  5. Defendant Citadel Securities LLC's Notice of Supplemental Authority in Support of Defendants' Motion to Dismiss the… (Dkt. 430)same docket · 2021-10-26
  6. Stipulated Rule 502(d) and Privileged Materials Order (2021-11-23)same docket · 2021-11-23
  7. THIS CAUSE came before the Court on the Antitrust Plaintiffs’ Unopposed Motion forsame docket · 2021-11-29
  8. Antitrust Plaintiffs' Notice of Supplemental Authority (Tether and Bitfinex) (Dkt. 429)same docket · 2021-10-22
  9. Robinhood's Unopposed Motion for Extension of Time to File an Answer to Plaintiffs' Federal Securities Tranche Complaint (Dkt. 504)same docket · 2021-11-30
  10. THIS CAUSE came before the Court upon Attorney Janet Jones -Duffey’s Motion tosame docket · 2021-10-22
  11. THIS CAUSE came before the Court upon Attorney Rachel Morowitz’s Motion tosame docket · 2021-12-21
  12. Defendants Robinhood Markets, Inc., Robinhood Financial LLC and Robinhood Securities LLC's Motion to Dismiss the… (Dkt. 449)same docket · 2022-01-07
  13. Order… (Dkt. 450, dated 2021-10-15)same docket · 2021-10-15
  14. Order… (Dkt. 420, dated 2021-10-15)same docket · 2021-10-15
  15. Order (Motion to Dismiss the Federal Securities Tranche Complaint) (Dkt. 503)same docket · 2022-01-07
  16. Order (Briefing Schedule) (Dkt. 452)same docket · 2022-01-20
  17. Notice of Appeal — In re January 2021 Short Squeeze Trading Litigation (Dkt. 457)same docket · 2022-01-27
  18. Plaintiffs' Opposition to Defendants Robinhood Markets, Inc., Robinhood Financial LLC and Robinhood Securities, LLC's… (Dkt. 454)same docket · 2022-01-28
  19. Defendants Robinhood Markets, Inc., Robinhood Financial LLC and Robinhood Securities, LLC's Motion to Dismiss the… (Dkt. 421)same docket · 2021-10-15
  20. Arizona v. Maricopa Cty Med Soc — Doc. 419same docket · 2021-10-05

Part of: In re: January 2021 Short Squeeze Trading Litigation · Paycheck Protection Program (PPP) · Federal court dockets (PACER) · 2021 · Source documents

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