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. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, 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:
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2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards
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2021 Most Innovative Companies - presented by Fast Company
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2021 Best API & Best Trading Technology - presented by Global Fintech Awards
ABOUT THIS ROLE
Apex Fintech Solutions is seeking an Senior Operations Specialist (Ops Control) to join our dynamic Operations team. This role is critical to ensuring the efficient functioning of our operational processes while maintaining high standards of accuracy, compliance, and timeliness. The ideal candidate will have a strong understanding of operational workflows, Securities and Exchange Commission Rule 15c3-3 (Possession or Control), and experience in pricing and reconciliation processes. They will be responsible for supporting daily operations, monitoring reconciliations, and collaborating with multiple departments to resolve issues and enhance operational efficiency.
Duties/Responsibilities
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Maintain Pricing JIRA Dashboard: Manage and update the Pricing JIRA dashboard, ensuring customer pricing inquiries are tracked, addressed, and resolved in a timely manner.
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Reconciliation Monitoring: Monitor firm reconciliations and stock record out-of-balances, ensuring prompt remediation of breaks and alignment with regulatory and internal standards.
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Supervisory Checklists and SLAs: Perform daily, weekly, and monthly evidence reviews of reconciliations, adhering to supervisory checklists and service-level agreements. Ensure all tasks are completed accurately and within established timelines.
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Incident Resolution: Perform follow-ups with subject matter experts (SMEs) to address processing breakdowns and resolve service issues effectively.
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SEC Rule 15c3-3 Compliance: Maintain and apply a solid understanding of the Possession or Control requirements related to 15c3-3, ensuring all processes adhere to applicable standards and regulations.
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Escheatment Audit Support: Assist with escheatment-related audit inquiries, providing accurate documentation and ensuring compliance with applicable laws.
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Pricing Review: Conduct and document thorough reviews of daily, weekly, and monthly Pricing-related supervisory checklists, identifying and addressing any discrepancies.
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Cross-Functional Collaboration: Work closely with Finance, Compliance, Risk, and other key departments, providing operational insights and support as needed to address cross-functional initiatives or challenges.
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Project Support: Participate in and contribute to other duties and projects that may arise, demonstrating adaptability and a solutions-oriented mindset.
Education and/or Experience
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Bachelor’s degree in Business Administration, Accounting, Finance, Economics, or a related field required
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5+ years of prior experience in back-office brokerage operations
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FINRA SIE and Series 99 License(s) require (or willingness to obtain)
Required Skills/Abilities
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High attention to detail with a proven ability to follow up and resolve complex issues across multiple stakeholders.
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Excellent organizational and time-management skills, with the ability to prioritize tasks and meet deadlines.
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Collaborative mindset with strong interpersonal and communication skills to work effectively across teams and functions.
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Proficient in Microsoft 365 (Excel, Word, PowerPoint)
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Displays relentless focus on customer service and customer satisfaction
Work Environment
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This job operates in a hybrid, office environment.
#operations #associate #full-time #LI-JC1 #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.
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.
