A strong understanding of market structure, including trading, reporting, and clearing
- Date
- 2021-11-05
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
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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
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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
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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
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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#/
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FINTECH IN ACTION - Become a
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(https://www.fintechinaction.com)
Case 1:21-md-02989-CMA Document 435-5 Entered on FLSD Docket 11/05/2021 Page 6 of 6
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- 1,146,277 bytes
- SHA-256
- d6cd9b5484114349983d12b389c0e4fa845d19767de2fdd64c84d6a43c9f729c