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Operations Specialist
(more about Peak6 Investment)
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Unfortunately Peak6 Investment has archived this job posting, they are no longer accepting applications.

Operations Specialist

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

The Operations Control Specialist will assist in the comprehensive review and oversight of Operations processes including but not limited to back office reconciliations with 3rd party banks and depositories, securities pricing, possession or control requirements and the rules associated with 15c3-3 for possession or control. Along with functional processing in the department, Apex is looking for a candidate that is eager to work on improving processes beyond their own job functions. As a part of the Apex Operations Control team, you will be engaged in documenting, implementing, and improving different operations processing as well as establishing and enforcing business controls. You will need to have the ability to communicate effectively with the various business units of the firm, as well as the technology teams, and audit teams. The successful candidate must demonstrate the highest professional behavior, drive, commitment, strong business and technical expertise, superior product knowledge and understanding of processing and regulatory requirements.  

Job Duties Include but are limited to the following:

  • Ensure compliance with FINRA Rules and department procedures
  • Ability to respond and assist with both internal and external inquiries with a friendly approach.  
  • Review and approval of securities pricing
  • Review and escalate reconciliations items
  • Work collaboratively with other Operations departments as well as Risk, Compliance, Technology, and Regulatory Reporting.
  • Ensure deadlines are met and deliverables are of a high standard.
  • Display enthusiasm and self-motivation to overcome obstacles and demonstrate a positive approach in the face of difficulty while encouraging the same approach in others.
  • Drive continuous improvement within the department.
  • Work with management as needed to analyze and document current state procedures and drive future state requirements, while documenting the process.

Desired Qualifications

  • 2 + years of experience in Financial Services
  • College degree or equivalent in Finance or Accounting Preferred
  • FINRA Series 99 license required within 90 days of start date
  • Knowledge of Regulatory rule 15c3-3
  • Ability to multi-task in a fast paced environment with an attention to detail while ensuring compliance with all firm and regulatory requirements
  • Experience working with Operations, Compliance & Risk on policies and procedures
  • Excellent verbal and written skills
  • Strong working knowledge of Microsoft Office (includes outlook, word, excel)
  • Experience in reconciliations, securities pricing, banking and ACH functions
  • Working knowledge of Broadridge Back-Office System a plus
  • Knowledge of Access or SQL databases and query creation
  • Willingness to take on responsibility
  • Confidence to deal with both external and internal clients