Michael Oxley

Chief Compliance Officer at Apex Fintech Brokerage Services Deputy Chief Compliance Officer at Apex Clearing Corporation

Role: Deputy Chief Compliance Officer at Apex Fintech Solutions
Location: Dallas-Fort Worth, TX, US
LinkedIn followers: 500 followers

Finance & AccountingView LinkedIn profile

About Michael Oxley

Dynamic and results-driven Chief Compliance Officer with a proven track record of navigating complex regulatory landscapes within the financial technology (fintech) and brokerage sectors. Combines deep knowledge of introducing broker operations, compliance frameworks (SEC, FINRA, NFA, FCA), and risk management with a passion for leveraging innovative technologies to streamline processes and enhance compliance efficiency. Adept at building and leading compliance programs that align with evolving regulatory requirements while supporting business scalability and growth. Skilled in fostering a culture of compliance, leveraging data analytics and automation tools, and collaborating cross-functionally to manage risk in fast-paced, tech-driven environments. Committed to driving operational integrity and protecting organizational reputation in a continuously evolving financial landscape.Over my tenure I have completed two master programs (MBA Accounting and MS Finance) and obtained series 4, 7, 24, 27, and 63 along with CSCP and CRCP.

Experience

Deputy Chief Compliance Officer
Apex Fintech Solutions
Apr 2021 — Present · Dallas, TX, US
Core Compliance functions include the following• Registrations, licensing, and other Web CRD functions on the FINRA Gateway• Form BD/BR reviews and approvals• Approver for OBAs and PSTs for individual employees• Electronic communication and marketing reviews and approvals• 3120/3130 report compilation for CEO sign offRegulation Compliance functions include the following• Approving FINRA 8120 requests and any other SRO inquiry including subpoenas• Organizer for all cycle exams for internal and external discussions and responses• Compliance reviewer for all new prospects and business line functions at the corporate level• Assisted with answers for clients on various topics including rule interpretations and guidance• Lead working groups for any new proposed rule changes from a SRO

Education

Mays Business School - Texas A&M University
Bachelor’s Degree, Finance
1999 — 2003
Naveen Jindal School of Management, UT Dallas
MBA, Accounting
2009 — 2011
Naveen Jindal School of Management, UT Dallas
MS, Finance
2009 — 2011

Skills

Bps
Finra
Hedge Funds
Microsoft Office
Salesforce.com
Relationship Management
Budgeting
Organization Skills
Team Building
Management
Prime Brokerage
Creative Problem Solving
Investments
Securities Regulation
Securities
Strategic Initiatives
Microsoft Word
Series 63
Operations Control
Day Trading
Creative Strategy
Problem Management
Microsoft Excel
Leadership
Compliance
Strategic Planning
Driving Results
Financial Services
Customer Service
Trading Systems
Middle Office
Financial Analysis
Margin
Portfolio Margin
Fixed Income
Strategic Vision
Microsoft Sql Server
Budgets
Finance
Mutual Funds

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