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, Los Angeles, 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

Apex is the custody and clearing engine for the future of digital wealth. We help our clients provide the seamless digital experiences today's consumers expect, reach more investors, and serve them profitably. We deliver unmatched speed, efficiency and flexibility to firms ranging from innovative start-ups to blue-chip brands focused on growth.
Apex's clients are industry leaders who understand that the complexity, costs and conflicts of legacy clearing platforms are blocking progress - and they like the brainpower, transparency and innovative technology they find with Apex.
We are preparing for the digital transformation of the advisory business within financial services and are looking for a talented and dynamic Operations Lead/ Extend Service Lead to assist in the development of the Advisory Client Services platform here at Apex Clearing.
Functions:

• Define implement and support customers who are using ABS.
• Understand and report on the P&L for the business and all the cost and revenue pieces that come with it.
• Define daily operational processes to ensure investors are using the service correctly and efficiently.
• Build and manage a comprehensive risk process to ensure investors are within set boundaries and products.
• Help the product team define tools and business rules needed to optimize client experience and service automation.
• Understand and structure the business to be competitive with street business lines and pricing.
• Offer business growth incentives that drive transactions, build a scalable platform.
• Create ABS reporting, management and structure to drive compliance and understanding being the broker of record. KYC and suitability review and management via available tools and Apex and industry policy.
• Track all customer complaints and drive change to better the experience digitally.

Drive a comprehensive service model for:

• Broker Dealers - Outsourced brokerage
• Advisory clients
• Apex Extend service
• CS Operations

Client Experience:

• Manage the progress of the ABS, RIA and Extend Client Experience
• Define metrics and report on this experience monthly.

Qualifications:

• 5 + years direct customer/Investor experience
  • Supporting a business that targets retail customers.
• 10 + years Broker Dealer leader, at a management capacity
• Extensive knowledge of risk / margin
• Options, Equities and Fixed Income experience and knowledge
• Trading background and understanding of retail investor needs
• Track record with a Broker to customer offering. This is not our normal hire from a custodian.
• Active FINRA Licenses 7, 63, 24, required