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Apex is seeking a highly motivated Operations Specialist to support our Banking team. This role is integral in performing various risk and regulatory functions and supports the core products for our introducing broker-dealers. The ideal candidate will have experience in financial services, a strong understanding of regulatory environments, and the ability to apply creative solutions to operational challenges.
Job Responsibility
Monitor critical operations exceptions across various financial activities such as asset transfers, corporate actions, account restrictions, and mutual fund trading
Handle a wide range of customer inquiries and requests through email and phone
Continuously acquire and update knowledge of FINRA and SEC regulations
Actively participate in initiatives to improve procedures by reducing risks and enhancing operational efficiencies
Requirements
Bachelor's Degree in Finance, Economics, Business Administration, or a related field
Proven track record in brokerage or financial services operations is essential
Nice to have
Minimum of 2 years in brokerage or financial services operations preferred
Proficiency in Microsoft Office, particularly Excel
Knowledge of SQL and data organization is highly desirable
Familiarity with FINRA and SEC guidelines affecting brokerage operations
What we offer
Market-leading salary with an annual bonus
28 days of annual leave plus 10 Northern Ireland national holidays
Training and development budget
Pension matched up to 7%
Private health insurance for medical, dental, and optical care