Securities Processing Associate Job at Apex Clearing (Austin)

Job Description

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.

Job Responsibility

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
Review and complete daily supervisory oversight, providing updates to seniors and management
Ensure ACAT requests are processed while adhering 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

Requirements

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
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

Nice to have

Financial services experience
Series 7

What we offer

Healthcare benefits (medical, dental and vision, EAP)
competitive PTO
401k match
parental leave
HSA contribution match
paid subscription to the Calm app
generous external learning and tuition reimbursement benefits

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Securities Processing Associate

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