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

Execution Services Analyst

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.  We are currently searching for an Contractor, Execution Services Analyst to join our Execution Services division.

The Execution Services Division delivers industry-leading trading solutions for our Broker/Dealer and Registered Investment Advisor customers.  We enable them to trade across multiple asset classes while navigating an increasingly complex regulatory landscape.  Our team of industry professionals collaborate and consult with our customers to deliver trading solutions that align with their needs and objectives.  Internally, our projects allow us to work across the organization including the trade desk, compliance, technology and onboarding teams. To support these efforts, we work across many aspects of the business including trading, onboarding, regulatory reporting, and trading systems integration.

If you are looking to learn about trading, compliance and the inner workings of the market, we offer a great opportunity to do so!

Primary Responsibilities:

  • Work with the Apex Trade Desk to support daily trading and systems operations
  • Manage and lead project work aligned with the goals of the Execution Services Team
  • Interact with trading technology providers to facilitate trading systems integration
  • Responsible for adhering to and updating written supervisory procedures, controls and partnering with compliance as needed
  • Perform regulatory reviews to ensure that trades are properly reported to the appropriate authorities (FINRA, TRACE.)
  • Collaborate with internal teams to support the successful onboarding of new trading customers
  • Assist in month end reconciliations where necessary
  • Work with the Compliance Team to answer regulatory inquiries from FINRA, SEC and other regulatory entities

Qualification Requirements:

  • College degree in related field preferred
  • 2+ years of work experience in a relevant securities-related field
  • FINRA Series 7, 63 preferred or willingness to achieve them shortly after coming on board
  • Strong interest in the financial markets and the technologies that support them
  • Risk-focused and not afraid to raise issues and escalate appropriately
  • Working knowledge of securities (equities, Options, FX, Bonds.)
  • Excellent customer service and communications as the role is a customer facing position
  • Working knowledge of the FIX (Financial Information Exchange) Protocol
  • Proficient with Jira, Netsuite, SQL, MS Office
  • Highly organized with exceptional attention to detail and follow-through
  • Team player with a positive attitude and strong work ethic
  • Strong communication skills both written and verbal
  • Ability to work in a fast-paced environment
  • Must be able to demonstrate good judgment and prioritization in a multi-task environment (Have a full understanding of the securities industry in general and clearing specifically)

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