Sr Operations Specialist (Settlements & Buy-Ins)

Senior Operations Specialist (Settlements & Buy-Ins)

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

Duties/Responsibilities

• Settlements Operations Oversight: Monitor and resolve critical settlement exceptions, failed trades, and buy-in events across custody, clearing, and settlement platforms. Ensure all settlement workflows, reconciliations, and cash/securities movements are processed accurately and efficiently, with issues escalated and resolved promptly.
• Client & Broker-Dealer Relations: Serve as primary point of contact for client inquiries related to settlement status, trade breaks, buy-in notifications, and position discrepancies. Communicate proactively via email and phone with clients, custodians, and counterparties to resolve settlement issues and ensure superior service delivery.
• Regulatory Compliance & Technical Expertise: Maintain comprehensive knowledge of SEC Rule 204, Regulation SHO, settlement discipline requirements, and FINRA trade reporting rules. Ensure all settlement operations comply with regulatory standards while staying current on evolving settlement cycle changes (T+1) and industry best practices.
• Systems Management & Automation Initiatives: Partner with Technology teams to identify automation opportunities, reduce manual interventions, and enhance system capabilities for settlement processing and exception handling.
• Process Optimization & Analysis: Analyze settlement workflows, buy-in procedures, and reconciliation processes to identify inefficiencies and operational risks. Design and implement process improvements that reduce settlement failures, minimize buy-in costs, and enhance operational scalability.
• Documentation & Procedure Development: Help maintain comprehensive Written Supervisory Procedures (WSPs) and desktop procedures. Ensure documentation supports operational consistency, audit readiness, and knowledge transfer across the team.
• Team Leadership & Mentorship: Train, coach, and develop junior operations specialists and analysts in settlement operations, buy-in procedures, and regulatory requirements. Foster a culture of continuous improvement, technical excellence, and proactive problem-solving.
• Service Level Agreement (SLA) Accountability: Own the achievement and monitoring of Service Center SLAs, settlement fail rates, and buy-in resolution times. Drive performance improvements and ensure consistent target attainment.
• Cross-Functional Technology Collaboration: Act as liaison between Operations and Product/Technology teams to communicate settlement system requirements, prioritize enhancement requests, and validate system releases. Provide operational expertise to support platform upgrades and new product launches affecting settlement workflows.

Education and/or Experience

• Bachelor's degree in Business Administration, Accounting, Finance, Economics, or a related field (or equivalent work experience) required
• 5+ years of prior experience in back-office brokerage operations
• FINRA SIE and Series 7 or Series 99 License(s) require (or willingness to obtain)

Required Skills/Abilities

• High attention to detail with a proven ability to follow up and resolve complex issues across multiple stakeholders.
• Excellent organizational and time-management skills, with the ability to prioritize tasks and meet deadlines.
• Collaborative mindset with strong interpersonal and communication skills to work effectively across teams and functions.
• Proficient in Microsoft 365 (Excel, Word, PowerPoint)
• Displays relentless focus on customer service and customer satisfaction

Work Environment

• This job operates in a hybrid, office environment.

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.