Securities Processing Associate

Securities Processing Associate (Account Transfers)

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 failures or errors. They help to ensure compliance and correct supervisory oversight of the transfer process, and help with detecting and preventing fraud. They will engage in daily processes and project-oriented work to make Apex Fintech Solutions a best in class solution for account transfers. The ideal candidate will possess strong analytical skills, attention to detail, and the ability to work collaboratively within a fast-paced team environment.

Duties/Responsibilities:

Customer Service:

• Ensure client inquiries are addressed and completed in accordance with service level agreement guidelines.
• Work with and offer assistance to internal and external customers with daily incoming and outgoing ACAT and Non ACAT requests.

Supervisory Oversight:

• Review and complete daily supervisory oversight, providing updates to seniors and management.
• Ensures ACAT requests are processed while adheres to processing deadlines.
• Respond to inquiries in a professional and timely manner, escalating issues to seniors and management when necessary.
• Maintain familiarity with ACAT regulations and industry standards that govern both ACAT and non-ACAT transfers. Able to identify documentation/processing irregularities and outline corrective measures.

Required Skills/Abilities:

• Excellent verbal and written communication skills including the ability to adapt messaging based on the audience
• Ability to make independent risk-based decisions as well as escalate appropriately
• Ability to interpret an extremely high level of detail and succinctly summarize for audiences internally and externally
• Detail-oriented and focused on customer satisfaction.
• Understanding of Microsoft office tools including Excel.
• Strong customer service and problem solving skills.
• Ability to multitask and prioritize while maintaining strong attention to detail.
• Requires excellent data gathering and analysis skills, utilizing reports, spreadsheets, web-based applications, and other software tools (SQL, Microsoft office, and Google Work suite)
• Assist manager with daily supervisory oversight, training staff and implementing new policies and procedures.
• Strong knowledge of/ or experience in Core Brokerage Operations functions

Education and/or Experience:

• 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 employment; Series 7 is preferred.
• Experience working with internal and external stakeholders.
• Financial services experience a plus?

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.