Senior Product Manager (Consolidated Audit Trail)

WHO WE ARE

Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers. 

Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila.

If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you. 

AFS has received a number of prestigious industry awards, including:

• 2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards

• 2021 Most Innovative Companies - presented by Fast Company

• 2021 Best API & Best Trading Technology - presented by Global Fintech Awards

ABOUT THIS ROLE

We are looking for a Senior Product Manager (Consolidated Audit Trail) to own the Consolidated Audit Trail (CAT) reporting domain—covering every feature, component, and system required to capture, validate, enrich, and report billions of order-related events to the CAT processor every single day.

If you are energized by complex data pipelines, passionate about market structure and regulatory reporting, and motivated by the challenge of delivering ultra-high-volume, zero-defect solutions, this is the role for you. You will shape the strategic vision for CAT and related regulatory reporting (CAIS, LTSE, blue sheets, etc.), ensuring Apex and our clients stay compliant, avoid penalties, and gain a competitive edge through data-driven insights.

Duties/Responsibilities

• Define and execute the strategy, vision, and roadmap for Apex’s CAT reporting products, with an emphasis on accuracy, completeness, timeliness, and cost-efficient processing of multi-billion-event data sets.

• Immerse yourself in evolving SEC Rule 613 obligations, SRO guidance, CAIS phases, and broader regulatory trends to anticipate change and keep Apex ahead of the curve.

• Establish and track OKRs in partnership with Compliance, Legal, Engineering, Operations, and client stakeholders to align product vision with corporate risk-management and growth goals.

• Author and maintain core product artifacts—Annual Operating Plans, Product Charters, PR-FAQs, Narratives—and work cross-functionally to manage dependencies and release schedules.

• Lead requirements elicitation, prioritization, and refinement to deliver functionality such as intra-day validations, error-repair workflows, linkage analytics, and customer/firm identifications (CAIS).

• Partner closely with engineering teams to manage backlogs, monitor sprint progress, and rapidly adapt to regulatory clarifications or industry technical specification updates.

• Leverage data—schema-level through executive dashboards—to generate insights that reduce error-correction rates, minimize “success but late” reports, and lower compliance costs.

• Own the end-to-end product lifecycle: define success metrics (e.g., error rate < 0.1 bps, 100 % linkage, < 15-minute turnaround), measure performance, and iterate relentlessly.

• Maintain a deep understanding of event-driven architectures, streaming technologies, and API design so you can challenge assumptions and deliver resilient, scalable solutions.

• Continuously scout emerging technologies (e.g., real-time validation engines, AI-powered anomaly detection) to enhance Apex’s regulatory reporting capabilities and client experience.

Education and/or Experience

• Bachelor’s degree in Computer Science, Engineering, Information Systems, or equivalent practical experience required; MBA or similar business degree is a plus.

• 5 + years in Product Management (or a closely related role) within fintech, capital-markets infrastructure, reg-tech, or cloud/SaaS data platforms—ideally with direct exposure to regulatory or trade-reporting systems.

Required Skills/Abilities

• Communication: Exceptional written and verbal skills; able to translate technical and regulatory complexity into clear priorities for engineers and understandable value propositions for clients.

• Analytical Capability: Advanced proficiency with SQL and BI tools (Looker, Tableau, PowerBI, etc.); comfortable digging into terabyte-scale datasets to uncover root causes and drive decisions.

• Leadership & Influence: Demonstrated ability to align cross-functional teams, navigate ambiguity, and push initiatives to completion without formal authority.

• Product Development: Full lifecycle ownership in Agile/Scrum environments; experience shipping data-intensive, high-availability SaaS products.

• Technical Fluency: Working knowledge of streaming frameworks (Kafka/Kinesis), RESTful APIs, data modeling, and cloud infrastructure (AWS, GCP, or Azure).

Other Preferred Qualifications

• Domain Expertise: Hands-on experience with CAT Technical Specifications, CAIS phases, OATS, EBS, blue-sheets, or other SEC/FINRA reporting regimes.

• Market-Structure Knowledge: Familiarity with U.S. equity and options order lifecycles, exchange routing, trade reporting facilities (TRF), and clearing workflows.

• Regulatory Insight: Understanding of SEC Rule 613, FINRA supervisory requirements, and data-security protocols for PII handling.

• API Design: Experience designing or integrating REST/JSON or FIX-based APIs for trade or compliance data interchange.

Work Environment

• This job operates in a hybrid, office environment 3 days per week.

• Up to 20% travel (Apex has a distributed client base and engineering footprint).

#product management #full-time #mid-senior #LI-SG1 #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.

Salary Range

The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge, skills, experience, and office location.

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.