Navigating Software Development and Integrations in the Fintech Space

Mike Ubis

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Former trader and head of technology for several Fintech companies with particular expertise in integrating new platforms with legacy code in the Wealth Management sector. SVP, Head of Securities Technology – Axos Securities (2022–Present) • Rebuilt an engineering team of 50+ after high attrition, stabilizing mission-critical trading and clearing systems. • Deployed a real-time market risk platform to reduce enterprise exposure and slash vendor costs. • Spearheaded offshore tech hub development, boosting release velocity and cutting resource expenses. Consultant / Advisor – Adaptic Solutions (2018–2022) • Provided strategic fintech advisory, including feasibility studies for Reg CF and Reg D platforms. • Guided early-stage crypto ventures on secure integrations, compliance, and risk management. Chief Information Officer / Chief Technology Officer – Apex Fintech Solutions (2013–2018) • Modernized and scaled the tech systems, launching a groundbreaking API ecosystem for back-office securities. • Drove SOC 2 compliance, introduced enterprise SLAs, and led multi-million-dollar cost optimizations. Director of Technology – PEAK6 Investments (2009–2013) • Designed and launched proprietary trading solutions, significantly reducing time-to-market for a global multi-asset hedge fund. • Streamlined back-office operations across multiple financial business lines, lowering overhead and boosting agility. Focus Areas: • Fintech Strategy & Product Development • Risk Management & Compliance (KYC/AML, SOC 2) • API & Microservices Architecture • Scaling & Mentoring Global Teams • Cloud Adoption & DevOps Best Practices • Regulatory Navigation & Market Entry