Operations Specialist (Settlements & Buy-Ins)

| Dallas, TX, USA | Hybrid
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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. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Portland, and Belfast.
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

We're looking for a motivated self-starter to join our expanding Operations team. As an Operations Specialist (Settlements & Buy-Ins), you'll be joining a team that executes on critical market-related and client-reporting functions. You will support the Settlements & Buy-Ins team by performing a variety of risk and regulatory duties. This is an opportunity to support Apex's core products for our introducing broker-dealers.

  • Settlement Management: Oversee the daily settlement of domestic and international securities transactions, ensuring all trades are accurately and timely processed in accordance with market deadlines and regulatory requirements.
  • Buy-in Coordination: Manage the buy-in process for failed trades, including identifying failed trades, issuing buy-in notices, and ensuring the execution of buy-ins within regulatory timeframes.
  • Client Liaison: Act as the primary point of contact for clients regarding settlement and buy-in inquiries, providing prompt and professional resolution of issues.
  • Reconciliation: Perform daily reconciliations of settlement activities to identify and resolve discrepancies between internal records and custodial accounts.
  • Compliance & Risk Management: Ensure all settlement and buy-in activities adhere to industry regulations and internal policies. Identify potential risks and implement measures to mitigate them.
  • Cross-functional Collaboration: Work closely with other departments to ensure a cohesive and effective operational environment.
  • Reporting: Prepare and distribute regular reports on settlement performance, buy-in activities, and related metrics to management and clients.
  • Process Improvement: Continuously evaluate and enhance settlement and buy-in processes to improve efficiency and reduce operational risk.

Education and/or Experience

  • A bachelor's degree in business, finance, or a related field is preferred, or equivalent combination of relevant education and experience
  • 3+ years of experience in the financial industry, preferably in roles related to: securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, or Settlements & Buy-Ins
  • 1 - 2 years of Settlements & Buy-ins experience, preferred
  • FINRA SIE and Series 99 Licenses required (or willingness to obtain); FINRA Series 7 preferred

Required Skills/Abilities

  • Ability to make independent risk-based decisions as well as escalate appropriately
  • Ability to interpret an extremely high level of detail and succinctly summarize for senior audiences internally and externally
  • Excellent verbal and written communication skills including the ability to adapt messaging based on the audience
  • Excellent data gathering and analysis skills, utilizing reports, spreadsheets, web-based applications, and other software tools (Microsoft 365, SQL, etc.)
  • Strong knowledge of core brokerage operations functions

Work Environment

  • This job operates in an office environment.

​ 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.
#operations #associate #full-time #LI-JC1 #APEX
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.
Diversity, Equity, Inclusion, and Belonging (DEIB) Commitment
We're looking for all kinds of people.
At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.
Apex is committed to being an equal opportunity employer. We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law. Know your rights: workplace discrimination is illegal. We stand by this commitment to promote a diverse, equitable, and inclusive workforce.

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Technology we use

  • Engineering
  • Product
  • Sales & Marketing
  • People Operations
    • GolangLanguages
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • ReactLibraries
    • DockerFrameworks
    • KubernetesFrameworks
    • Microsoft SQL ServerDatabases
    • MongoDBDatabases
    • PostgreSQLDatabases
    • RedisDatabases
    • AWS (Amazon Web Services)Services
    • Google CloudServices
    • LookerAnalytics
    • MiroDesign
    • ConfluenceManagement
    • Google DriveManagement
    • Google DocsManagement
    • Google SlidesManagement
    • JIRAManagement
    • Monday.comManagement
    • SalesforceCRM
    • SlackCollaboration
    • ZoomCollaboration
    • Monday.comProject Management

An Insider's view of Apex Fintech Solutions

What are some things you learned at the company?

Trust in the power of failure; don’t fear it. Failure at some point is inevitable and you cannot succeed if you never take the chance! There is a lesson to be learned in each failure, and it only makes you stronger.


Director, Business Development

What are Apex Fintech Solutions Perks + Benefits

Volunteer in local community
Partners with nonprofits
Open door policy
OKR operational model
Open office floor plan
Employee resource groups
Hybrid work model
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Hiring practices that promote diversity
Health Insurance + Wellness
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Pet insurance
Wellness programs
Mental health benefits
Financial & Retirement
401(K) matching
Apex's 401(k) retirement plan match 50% of an employee's contributions up to the first 6% of their eligible compensation.
Company equity
Performance bonus
Charitable contribution matching
Child Care & Parental Leave
Generous parental leave
Family medical leave
Adoption Assistance
Vacation + Time Off
Generous PTO
Apex's vacation policy includes three weeks paid time off for all full-time employees and up to four weeks off for tenured employees of five years or longer.
Paid volunteer time
Apex encourages employees to give back with paid volunteer time of up to 16 hours a year.
Paid holidays
Paid sick days
Office Perks
Commuter benefits
Apex offers pre-tax commuter benefits for all full-time employees.
Company-sponsored outings
Free snacks and drinks
Company-sponsored happy hours
Relocation assistance
Professional Development
Job training & conferences
Tuition reimbursement
Lunch and learns
Promote from within
Mentorship program
Online course subscriptions available
Paid industry certifications

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