PEAK6 · 11 hours ago
Operations Specialist (Settlements & Buy-Ins)
Austin, TX
Full-time
Hybrid
Mid Level
3+ years expApex Fintech Solutions is a company that powers innovation in digital wealth management by processing millions of transactions daily. They are seeking a motivated Operations Specialist to join their expanding team, where the role involves executing critical market-related and client-reporting functions, supporting settlements and buy-ins, and ensuring compliance with regulatory standards.
Financial ServicesInformation TechnologyTrading PlatformVenture Capital
Responsibilities
Monitor and resolve critical settlement exceptions, failed trades, and buy-in events across custody, clearing, and settlement platforms
Serve as primary point of contact for client inquiries related to settlement status, trade breaks, buy-in notifications, and position discrepancies
Maintain comprehensive knowledge of SEC Rule 204, Regulation SHO, settlement discipline requirements, and FINRA trade reporting rules
Partner with Technology teams to identify automation opportunities, reduce manual interventions, and enhance system capabilities for settlement processing and exception handling
Analyze settlement workflows, buy-in procedures, and reconciliation processes to identify inefficiencies and operational risks
Help maintain comprehensive Written Supervisory Procedures (WSPs) and desktop procedures
Train, coach, and develop junior operations specialists and analysts in settlement operations, buy-in procedures, and regulatory requirements
Own the achievement and monitoring of Service Center SLAs, settlement fail rates, and buy-in resolution times
Act as liaison between Operations and Product/Technology teams to communicate settlement system requirements, prioritize enhancement requests, and validate system releases
Qualification
Required
Bachelor's degree in Business Administration, Accounting, Finance, Economics, or a related field (or equivalent work experience) required
3+ years of prior experience in back-office brokerage operations
FINRA SIE and 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
Benefits
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
Hybrid work schedule
Company
PEAK6
We're In The Business Of What Ought To Be The business of doing, creating, and building the world the way we see fit.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
J
Judi Hart
Chief Executive Officer at We Insure
Recent News
2025-01-16
2025-01-15
Austin Business Journal
2024-02-01
Company data provided by crunchbase