Apex Fintech Solutions
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Operations Specialist (Margin)
role at
Apex Fintech Solutions .
Who We Are Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, simplifying, automating, and facilitating access to financial markets for all. Our robust suite of fintech solutions supports clients such as Stash, Betterment, SoFi, Webull, and more than 20 million customers. Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila. We have received numerous industry awards, including Best Wealth Management Company (2021-2018), Most Innovative Companies (2021), and Best API & Best Trading Technology (2021).
About This Role The
Operations Specialist (Margin)
will assist in the comprehensive review and oversight of FINRA Rule 4210 and associated regulatory requirements for all accounts held by Apex Clearing Corporation. Responsibilities include ensuring compliance with Rule 4210 across broker dealer margin, portfolio margin, extended settlements, derivatives, and prime brokerage. The candidate will work with Operations, Technology, and Compliance to ensure front‑to‑back compliance, vet new regulatory requirements, new products, and monitor margin processes. The role requires a thorough understanding of margin rules and practices.
Duties / Responsibilities
Ensure compliance with FINRA Rule 4210 and department procedures across all accounts.
Respond to internal and external inquiries with a friendly approach.
Review and approve requests for transfers and distributions of cash and/or securities.
Quickly and accurately calculate margin equity and excess amounts.
Review, approve and set limits for Portfolio Margin and Primary/Secondary account relationships.
Collaborate with Risk, Compliance, Technology, Legal, Finance, and Banking departments.
Meet deadlines and deliver high‑standard deliverables.
Maintain enthusiasm and self‑motivation to overcome obstacles and encourage a positive approach.
Drive continuous improvement within the department.
Analyze and document current state procedures and drive future state requirements.
Perform other duties as assigned.
Education and Experience
Bachelor’s Degree or equivalent business experience.
2+ years of experience with retail client margin calls preferred.
FINRA SIE and Series 7 License required (or willingness to obtain).
Required Skills and Abilities
Stay organized while performing analysis and solving problems in a fast‑paced environment.
Exceptional attention to detail.
Strong verbal and written communication skills.
Knowledge of equities and options.
Knowledge of complex options strategies preferred.
Familiarity with Regulation T and Rule 4210.
Proficiency in Microsoft Office products, Excel, SQL, or query writing.
Strong product knowledge preferred.
Experience with Claude AI and ability to use Python is a plus.
Work Environment This job operates in a hybrid office environment, 3 days per week in the Dallas, TX office.
Our Rewards We offer a robust package of employee perks and benefits, including healthcare (medical, dental, vision, EAP), competitive PTO, 401(k) match, parental leave, HSA contribution match, a paid subscription to the Calm app, and generous external learning and tuition reimbursement. AFS provides a hybrid work schedule for most roles with flexibility to work from home.
EEO Statement 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.
Disability Statement 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.
Dallas, TX $100,000 - $150,000
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Operations Specialist (Margin)
role at
Apex Fintech Solutions .
Who We Are Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, simplifying, automating, and facilitating access to financial markets for all. Our robust suite of fintech solutions supports clients such as Stash, Betterment, SoFi, Webull, and more than 20 million customers. Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. As a global organization, we have offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila. We have received numerous industry awards, including Best Wealth Management Company (2021-2018), Most Innovative Companies (2021), and Best API & Best Trading Technology (2021).
About This Role The
Operations Specialist (Margin)
will assist in the comprehensive review and oversight of FINRA Rule 4210 and associated regulatory requirements for all accounts held by Apex Clearing Corporation. Responsibilities include ensuring compliance with Rule 4210 across broker dealer margin, portfolio margin, extended settlements, derivatives, and prime brokerage. The candidate will work with Operations, Technology, and Compliance to ensure front‑to‑back compliance, vet new regulatory requirements, new products, and monitor margin processes. The role requires a thorough understanding of margin rules and practices.
Duties / Responsibilities
Ensure compliance with FINRA Rule 4210 and department procedures across all accounts.
Respond to internal and external inquiries with a friendly approach.
Review and approve requests for transfers and distributions of cash and/or securities.
Quickly and accurately calculate margin equity and excess amounts.
Review, approve and set limits for Portfolio Margin and Primary/Secondary account relationships.
Collaborate with Risk, Compliance, Technology, Legal, Finance, and Banking departments.
Meet deadlines and deliver high‑standard deliverables.
Maintain enthusiasm and self‑motivation to overcome obstacles and encourage a positive approach.
Drive continuous improvement within the department.
Analyze and document current state procedures and drive future state requirements.
Perform other duties as assigned.
Education and Experience
Bachelor’s Degree or equivalent business experience.
2+ years of experience with retail client margin calls preferred.
FINRA SIE and Series 7 License required (or willingness to obtain).
Required Skills and Abilities
Stay organized while performing analysis and solving problems in a fast‑paced environment.
Exceptional attention to detail.
Strong verbal and written communication skills.
Knowledge of equities and options.
Knowledge of complex options strategies preferred.
Familiarity with Regulation T and Rule 4210.
Proficiency in Microsoft Office products, Excel, SQL, or query writing.
Strong product knowledge preferred.
Experience with Claude AI and ability to use Python is a plus.
Work Environment This job operates in a hybrid office environment, 3 days per week in the Dallas, TX office.
Our Rewards We offer a robust package of employee perks and benefits, including healthcare (medical, dental, vision, EAP), competitive PTO, 401(k) match, parental leave, HSA contribution match, a paid subscription to the Calm app, and generous external learning and tuition reimbursement. AFS provides a hybrid work schedule for most roles with flexibility to work from home.
EEO Statement 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.
Disability Statement 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.
Dallas, TX $100,000 - $150,000
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