Director, Operations (Securities Processing)

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, 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

ABOUT THIS ROLE
Apex Fintech Solutions is seeking a Director, Operations (Securities Processing) that is eager to play a crucial role in overseeing and enhancing the operational functions of our emerging cloud based platform, Ascend. The ideal candidate will have the ability to communicate effectively with senior members of various business units within the firm, as well as Sales and Product / Technology teams. The successful candidate must demonstrate the highest professional behavior, drive, commitment, strong business and technical expertise, and superior industry knowledge.
Duties/Responsibilities

• Operations Management: Oversee the day-to-day operations of their area, ensuring compliance with all regulatory requirements and internal policies, and address any issues or discrepancies.
• Team Management: Hire, train, and manage the performance of operations staff.
• Customer Service: Provide exceptional customer service to Apex clients by addressing their questions and requests.
• Policy Development: Develop and implement policies and procedures to improve operational efficiency and reduce risk.
• Interdepartmental Collaboration: Work with other departments such as compliance, risk management, and technology to ensure smooth operations.
• Supervisory Support: Offer supervisory support to Operations teams and act as a point of expertise and escalation for peers, company leadership, and junior team members.
• Product/Service Delivery Enhancement: Liaise with Product Management teams to design tools and business logic to optimize client experience and service automation.
• Continuous Improvement: Challenge the status quo and drive continuous improvement within the department.

Education and/or Experience

• 10+ years of experience in broker-dealer, custodian bank, or financial services operations preferable in Purchase & Sales and or Options Operations.
• 5+ years of experience in operations management
• FINRA Securities Industries Essentials (SIE) and Series 7 licenses required (or willingness to obtain)
• Experience in industry engagement
• Client service experience

Required Skills/Abilities

• Strong knowledge of custody and clearing operations, regulatory requirements, and industry best practices.
• Knowledge of trade and position lifecycle
• Knowledge of equities and options
• Proven leadership and team management skills.
• Excellent analytical, problem-solving, and decision-making abilities.
• Strong communication and interpersonal skills.
• Ability to thrive in a fast-paced, dynamic environment.

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 #director #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.
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.