Securities Lending Operations Specialist

5 days ago

Dallas, Texas, United States Apex Fintech Solutions Full time
About Apex Fintech Solutions

Apex Fintech Solutions (AFS) is a leading provider of fintech solutions, empowering innovation and digital wealth management by processing millions of transactions daily. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers.

Job Summary

The Securities Lending Analyst will manage daily operational tasks on the stock loan desk, ensuring seamless securities lending activities. This role involves coordinating with brokers, managing short sales, performing reconciliations, and supporting various stock loan account processes.

Key Responsibilities
  • Recall Management: Issue recalls to cover deficits and fails to deliver.
  • Short Sales Approval: Approve customer short sales requests in compliance with regulatory requirements.
  • Security Lending: Review incoming security needs lists from brokers and lend securities accordingly.
  • Stock Loan Buy-ins: Execute stock loan buy-ins for unreturned securities.
  • Borrowing Securities: Borrow securities from different broker/dealers to meet internal requirements.
  • Reconciliation: Perform daily reconciliations for various stock loan accounts.
  • Billing Process: Assist with the end-of-month billing process with broker/dealers and correspondents.
  • Customer Support: Provide support to correspondents regarding locates, hard-to-borrow charges, and buy-in concerns.
Requirements
  • Bachelor's degree in Finance or Business Administration or equivalent work experience.
  • 1 - 3 years of experience in financial services on a securities lending desk, preferably in operations.
  • FINRA Securities Industries Essentials (SIE) License required (or willingness to obtain).
Preferred Skills
  • Ability to organize and manage multiple tasks in a fast-paced environment.
  • Detail-oriented with strong analytical skills.
  • Excellent interpersonal and communication skills, both oral and written.
  • Knowledge of stock records and securities clearing.
  • Proficient in Microsoft Office 365.
Work Environment
  • This job operates in an office environment.

We offer a robust package of employee perks and benefits, including healthcare benefits, competitive PTO, 401k match, parental leave, and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits. At AFS, we offer a hybrid work schedule for most roles that allows employees to have the flexibility of working from home and one of our primary offices.

We're committed to being an equal opportunity employer and ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.

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