Client Account Processing Specialist

2 weeks ago

Dallas, Texas, United States Apex Fintech Solutions LLC Full time
ABOUT APEX FINTECH SOLUTIONS
Apex Fintech Solutions is a leading player in the financial services sector, recognized for its advanced clearing services. Our mission is to deliver exceptional solutions, powered by a dedicated team of operations professionals focused on client success.

ROLE OVERVIEW
The Operations Specialist (ACATS) plays a vital role within our Operations team, responsible for managing the comprehensive process of transferring customer accounts between financial institutions. This position demands a commitment to accuracy, efficiency, and adherence to industry regulations.

KEY RESPONSIBILITIES
Core Operations:
  • Execute daily ACATS operations with a focus on precision and timeliness in transaction processing.
  • Collaborate with internal departments and external brokerage firms to ensure seamless account transfers.
  • Identify and resolve any issues or discrepancies that may arise during the transfer process.

Customer Support:
  • Assist both internal and external clients with daily ACAT and Non-ACAT requests.
  • Ensure that customer inquiries are addressed in line with service level agreements.
  • Act as the primary contact for clients regarding ACATS-related inquiries and concerns.
  • Provide timely updates to clients on the status of their account transfers.
  • Handle client issues with professionalism and efficiency.

Supervisory Duties:
  • Conduct daily supervisory reviews and provide updates to senior management.
  • Ensure ACAT requests are processed within established deadlines.
  • Respond to inquiries professionally and escalate issues to management as necessary.
  • Maintain familiarity with ACAT regulations and industry standards governing transfers.
  • Identify any irregularities in documentation or processing and recommend corrective actions.

Process Improvement:
  • Identify and implement enhancements to current operational workflows to increase efficiency.

Regulatory Compliance:
  • Ensure that operations align with industry standards, regulatory requirements, and company policies.

Collaboration:
  • Work with cross-functional teams, external partners, and clients to clarify inquiries and resolve issues.

QUALIFICATIONS
  • Bachelor's degree in Finance, Economics, Business, or a related field, or equivalent experience.
  • Minimum of 3 years in broker-dealer operations or financial services.
  • Experience working with both internal and external clients.
  • Possession of FINRA SIE and Series 99 Licenses (or willingness to obtain); Series 7 preferred.

SKILLS AND ABILITIES
  • Ability to work collaboratively in a team environment and independently.
  • Detail-oriented with a strong focus on customer satisfaction.
  • Excellent analytical, problem-solving, and critical thinking skills.
  • Strong written and verbal communication skills, capable of conveying complex information clearly.
  • Ability to thrive in high-pressure situations and tackle complex operational challenges.
  • Solid understanding of custody and clearing operations, financial markets, and regulatory frameworks.
  • Strong attention to detail and capability to manage multiple priorities in a dynamic environment.
  • Proficiency in Microsoft Office 365.

WORK ENVIRONMENT
This position operates in an office setting. Please note that this job description is not exhaustive and may evolve over time.

OUR BENEFITS
We offer a comprehensive benefits package, including healthcare options (medical, dental, and vision), competitive paid time off, 401k matching, parental leave, and HSA contributions. Additionally, we provide a paid subscription to the Calm app and generous tuition reimbursement for external learning opportunities.

DIVERSITY AND INCLUSION
At Apex, we value diversity and are committed to fostering an inclusive workplace that reflects our mission. We believe in democratizing investing and creating spaces for individuals from all backgrounds. We are an equal opportunity employer, ensuring fair consideration for all qualified applicants without discrimination based on any protected characteristic.

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