Operations Specialist (Margins & Cashiering)

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:

• 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

The Operations Specialist (Margins & Cashiering) will provide operational support, are accountable for facilitating the team's ability to deliver business results and creating a work environment that promotes employee engagement. This includes helping to provide the information, resources, feedback, coaching and recognition that help employees improve their performance. Operation Specialists are responsible for assisting in developing necessary process improvements, communications and effective working relationships that establish accountability and positively impact the team, and stakeholders.

Apex Clearing’s Cash Team is responsible for risk prevention, status confirmation, and education of policies and procedures related to money movement. Our mission is to execute as an elite team of experts, committed to the highest level of satisfaction, by owning every client interaction through clients' eyes. We provide one call resolution and protect the clients' interests from fraud while mitigating risk to the firm. Our team is centralized to assist various departments' client requests for incoming and outgoing movement of funds. Our collaborative team members carry out our mission to provide the one-on-one service that Apex is known for. It is this level of service that differentiates us from our competitors!

Duties/Responsibilities

• Effectively managing and evaluating risk when reviewing client account money movement requests including but not limited to check requests, ACHs, domestic and international wires.

• Assess and resolve client issues that relate to wires, ACHs and transfers by helping client’s self-service. You will assist clients in navigating through money movement solutions and services available at Apex.

• Problem solving and conducting research/special requests using internal processing systems, phone, and emails.

• Identifying situations where escalation is warranted and the ability to act promptly in a high-risk environment.

• Liaise with Business Units, AML, Legal and Risk teams to ensure payment exceptions are actioned in a timely manner to avoid payment failures.

• Performing work that is detailed and communicated in a clear, effective manner.

• Work collaboratively and effectively with others in a fast-paced environment.

Education and/or Experience

• Bachelor's degree or equivalent work experience required

• 2+ years’ experience in client service or operations with brokerage/financial industry preferred

• FINRA SIE and Series 99 License(s) required (or willingness to obtain)

Required Skills/Abilities

• Strong interpersonal, verbal, and written communication skills.

• Ability to listen and to explain complex subjects in simpler terms

• Demonstrated ability to work in an environment with minimum supervision

• Intermediate level of knowledge regarding regulatory, audit and compliance policies regarding the securities industry.

• Intermediate technical skills, with the ability to use 7 or more different applications efficiently, including Windows, internet research, database systems, and email.

• Positive attitude, team oriented, enthusiastic, professional, forward thinker and strong work ethic.

Work Environment

• This job operates in an 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.