Apex Fintech Solutions
fintech
SecuritiesProcessingAssociate
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optimal for Mid candidates.
“Securities Processing Associate at Apex Fintech Solutions. Skills: Account transfers, Securities processing, Supervisory oversight. Support day-to-day operations of custody and clearing services. Process account transfers through multiple methods”
What You'll Achieve.
Ensure client inquiries are addressed and completed in accordance with service level agreement guidelines; Ensure ACAT requests are processed while adheres to processing deadlines; Make Apex Fintech Solutions a best in class solution for account transfers
Industry & Context.
Analytical skills; Ability to make independent risk-based decisions; Customer service and problem solving skills; Ability to interpret an extremely high level of detail; Remediate transfer failures or errors; Identify documentation/processing irregularities and outline corrective measures
What They're Looking For.
Must Have
Minimum of 2-3 years’ experience in the financial industry, preferably in roles related to: securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, new accounts, Bachelor degree in Finance, Business Administration or equivalent experience required, FINRA SIE and FINRA Series 99 required (or willingness to obtain within 90 days of Series 7 is preferred), Experience working with internal and external stakeholders
Nice to Have
FINRA Series 7 is preferred
What You'll Do.
Support day-to-day operations of custody and clearing services
Process account transfers through multiple methods
Remediate transfer failures or errors
Ensure compliance and correct supervisory oversight
Detect and prevent fraud
Engage in daily processes and project-oriented work
Ensure client inquiries are addressed and completed
Offer assistance to internal and external customers
Review and complete daily supervisory oversight
Provide updates to seniors and management
Ensure ACAT requests are processed
Adhere to processing deadlines
Respond to inquiries professionally and timely
Escalate issues to seniors and management
Maintain familiarity with ACAT regulations
Identify documentation/processing irregularities
Outline corrective measures
Assist manager with daily supervisory oversight
Assist manager with training staff
Assist manager with implementing new policies
How You'll Work.
Team & Collaboration
Work collaboratively within a fast-paced team environment; Work with and offer assistance to internal and external customers; Provide updates to seniors and management; Escalate issues to seniors and management when necessary; Experience working with internal and external stakeholders
Communication Scope
Excellent verbal and written communication skills; Ability to adapt messaging based on the audience; Ability to interpret an extremely high level of detail and succinctly summarize for audiences internally and externally; Respond to inquiries in a professional and timely manner
Full Job Description
**WHO WE ARE** Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers. At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created. Here are just a few of the many awards we’ve recently received: **Best Places to Work** 2026, 2025, 2024, 2023 - Presented by BuiltIn **WealthTech of the Year** 2025 - Presented by US FinTech Awards **The World’s Top 250 Fintech Companies** 2024 - Presented by CNBC **ABOUT THIS ROLE** The **Securities Processing Associate** (Account Transfers) will join our growing operations team and will be responsible for supporting day-to-day operations of our custody and clearing services with a primary focus on Account transfers. This role involves the processing of account transfers through multiple methods including ACATS, Non-ACATS, and direct transfers. They aid in the remediation of transfer fa
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