Join our expanding Operations team in Dallas as a Senior Operations Specialist focusing on Settlements & Buy-Ins, where you will oversee critical market-related functions and client-reporting tasks. Your day-to-day involves monitoring settlement exceptions, resolving failed trades, managing buy-in events, and ensuring compliance with SEC Rule 204 and FINRA regulations. You’ll collaborate closely with Technology teams to automate processes, optimize workflows, and enhance system capabilities for efficient settlement processing. Additionally, you will mentor junior team members, develop comprehensive documentation, and ensure adherence to Service Level Agreements. This role requires a Bachelor’s degree in a relevant field, 5+ years of back-office brokerage experience, and FINRA certifications or willingness to obtain them. Proficiency in Microsoft Office tools and strong communication skills are essential for success in this high-impact position within the WealthTech industry.
Monitor and resolve critical settlement exceptions, failed trades, and buy-in events.
Serve as primary point of contact for client inquiries related to settlements.
Maintain knowledge of regulatory standards and ensure compliance in operations.
Identify automation opportunities to enhance system capabilities for settlement processing.
Analyze workflows to design process improvements that reduce operational risks.
Train and develop junior specialists in settlement operations and regulatory requirements.
Own the achievement and monitoring of Service Level Agreements (SLAs) related to settlements.
What we're looking for
5+ years of back-office brokerage operations experience required
FINRA SIE and Series 7 or Series 99 licenses required (or willingness to obtain)
Comprehensive knowledge of SEC Rule 204, Regulation SHO, and FINRA trade reporting rules
Proven ability to resolve complex issues with high attention to detail across multiple stakeholders
Strong organizational skills and the ability to prioritize tasks effectively
Proficient in Microsoft 365 (Excel, Word, PowerPoint)
Collaborative mindset with excellent interpersonal and communication skills
Market check
Salary context
This listing doesn't show a salary. Similar roles on FindRole typically pay
$126,820–$184,200.
Peer median band
$126,820–$184,200
Median floor and ceiling across peers.
Typical midpoint (25–75%)
$122,900–$213,250
Middle half of comparable postings.
Based on 239 comparable postings.*
* 240 is the maximum number of comparable postings sampled.
Employer
About Apex
Apex Fintech Solutions provides brokerage infrastructure and clearing services to financial services companies, enabling them to deliver investing, trading, and retirement solutions to their customers. Industry: Financial Technology & Brokerage Infrastructure
Apex currently has
34 open roles
on FindRole.
Listed pay typically runs
$129,200–$161,500
across 10 roles with salary data.
Il-70 W Madison St, 9Th Fl, US13 days ago
$86,600–$95,000
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