Securities Processing Associate

ABOUT THIS ROLE

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. The role involves processing account transfers through multiple methods including ACATS, non‑ACATS, and direct transfers. The Associate will aid in the remediation of transfer failures or errors, ensure compliance, and assist in detecting and preventing fraud.

The role includes both daily operational tasks and project‑oriented work to establish Apex Fintech Solutions as a best‑in‑class solution for account transfers. Candidates should possess strong analytical skills, attention to detail, and the ability to collaborate effectively in a fast‑paced team environment.

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.
• 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 governing both ACAT and non‑ACAT transfers, identify documentation/processing irregularities, and outline corrective measures.

• Excellent verbal and written communication skills with the ability to adapt messaging based on the audience.
• Ability to make independent, risk‑based decisions and to appropriately elevate issues.
• Ability to interpret a high level of detail and succinctly summarize findings for internal and external stakeholders.
• Detail‑oriented and focused on customer satisfaction.
• Proficiency with Microsoft Office tools, including Excel.
• Strong customer service and problem‑solving skills.
• Ability to multitask and prioritize while maintaining strong attention to detail.
• Excellent data gathering and analysis skills, utilizing reports, spreadsheets, web‑based applications, and other software tools (SQL, Microsoft Office, Google Workspace).
• 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, or new accounts.
• Bachelor’s degree in Finance, Business Administration, or equivalent experience required.
• FINRA SIE and FINRA Series 99 required (or a willingness to obtain within 90 days of employment; Series 7 is preferred).
• Experience working with internal and external stakeholders.
• Financial services experience a plus.

We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental, vision, EAP), competitive paid time off, 401(k) match, parental leave, and HSA contribution match. Employees receive a paid subscription to the Calm app and generous external learning and tuition reimbursement benefits. Most roles at AFS offer a hybrid work schedule that allows flexibility to work from home and from one of our primary offices.

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.

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.