Sr Operations Specialist; Settlements & Buy-Ins

ABOUT THE ROLE

We're looking for a motivated self-starter to join our expanding Operations team in Dallas, Texas. As a Senior Operations Specialist (Settlements & Buy-Ins), you’ll be joining a team that executes on critical market-related and client-reporting functions. You will support the Settlements and Buy-ins teams by performing a variety of risk and regulatory functions. This is an opportunity to support Apex’s core products for our introducing broker-dealers.

• 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 counter parties 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.

• 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)

• 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

• This job operates in a hybrid, office environment.

#operations #associate #full-time #LI-KD1 #APEX

Our commitment:
This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the…