Operations Specialist (Mutual Funds)

PEAK6; Dallas (TX); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Healthcare benefits (medical, dental,-

Vision coverage

401(k) match

Parental leave

HSA contribution match

Calm app subscription

Learning and tuition reimbursement

Hybrid work schedule

Job summary

Apex Fintech Solutions is seeking an Operations Specialist (Mutual Funds) to support day-to-day custody and clearing operations, with a focus on mutual funds. The role emphasizes accurate processing, reconciliation, and regulatory compliance within a collaborative team environment.

The ideal candidate will bring strong analytical and communication skills, attention to detail, and the ability to handle multiple tasks while maintaining service levels.

Qualifications

• Bachelor’s degree in Finance, Business Administration or equivalent.
• FINRA SIE certification required (or willingness to obtain within 90 days).
• FINRA Series 99 is preferred.
• Experience in securities processing or brokerage operations is a plus.

Responsibilities

• Provide support for mutual fund operations and queries.
• Perform daily mutual fund processing and reconciliation.
• Coordinate with fund companies, transfer agents, and clients.
• Ensure regulatory compliance and prepare reports for audits.

Skills

Verbal and written communication

Independent risk decisions

Detail-oriented

Microsoft Excel

Customer service

Multitasking

Data gathering and analysis

Regulatory awareness

Education

Bachelor's degree in Finance/Business or equivalent

FINRA SIE

FINRA Series 99 (preferred)

Tools

SQL

Microsoft Office

Google Workspace

Job description

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash, Betterment, SoFi, Webull, and eToro, amongst many others; collectively, Apex powers access to the stock market for over 22+ million end customers. At Apex, we are changing how the securities industry operates by reinventing the status quo, which was manual, slow, and accessible only by the ultra-wealthy. We're digitizing and democratizing systems so that everyone has an opportunity to invest. When you're at Apex, you drive this change. You're part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila are home to over 1,000 employees. Together, we’re shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. — grit, results, empathy, accountability, and teamwork — with Apex. We’re proud to be recognized for the innovative work we do, the purpose-driven nature of our work, and the collaborative culture we’ve created.

Here are just a few of the many awards we’ve recently received:

• Best Places to Work 2026
• 2025
• 2024
• 2023 - Presented by BuiltIn WealthTech
• Of the Year 2025 - Presented by US FinTech Awards
• The World’s Top 250 Fintech Companies 2024 - Presented by CNBC

ABOUT THIS ROLE

The Operations Specialist (Mutual Funds) will join our growing operations team and will be responsible for supporting day-to-day operations of our custody and clearing services with a primary focus on mutual funds. This role involves coordinating and processing mutual fund transactions, reconciling accounts, and ensuring compliance with regulatory requirements. The ideal candidate will possess strong analytical skills, attention to detail, and the ability to work collaboratively within a team environment.

Duties/Responsibilities

• Customer Service: Provide support and assistance to correspondents regarding daily requests and inquiries related to mutual funds. Ensure customer inquiries are addressed and completed in accordance with service level agreement guidelines. Coordinate with mutual fund companies, transfer agents, third-party providers, clients, and internal teams to ensure that all agreements meet requirements.
• Supervisory Oversight: Review and complete daily supervisory oversight, providing updates to seniors and management. Ensure mutual fund trades are processed within processing deadlines. Respond to inquiries in a professional and timely manner, escalating issues to seniors and management when necessary. Maintain familiarity with mutual fund regulations and industry standards governing both eligibility for transfer and trading of mutual fund positions.
• Transaction Processing: Execute and process mutual fund transactions, including purchases, redemptions, exchanges, and transfers. Verify and validate transaction details to ensure accuracy and compliance with internal policies and regulatory standards. Coordinate with clients and fund companies to resolve transaction-related issues.
• Account Reconciliation: Reconcile mutual fund accounts on a daily basis to ensure all transactions are accurately recorded and settled. Investigate and resolve discrepancies in a timely manner, working closely with other departments and external parties as needed. Maintain detailed records of reconciliation activities and prepare regular reports for management.
• Compliance and Reporting: Ensure all operations comply with regulatory requirements, industry standards, and company policies. Assist in preparing regulatory reports and documentation for audits and examinations. Stay updated on changes in regulations affecting mutual fund operations and implement necessary adjustments.

Required Skills/Abilities

• Excellent verbal and written communication skills including the ability to adapt messaging based on the audience
• Ability to make independent risk-based decisions as well as elevate appropriately
• Ability to interpret an extremely high level of detail and succinctly summarize for audiences internally and externally
• Detail-oriented and focused on customer satisfaction.
• Understanding of Microsoft office tools including Excel.
• Strong customer service and problem solving skills.
• Ability to multitask and prioritize while maintaining strong attention to detail.
• Requires excellent data gathering and analysis skills, utilizing reports, spreadsheets, web-based applications, and other software tools (SQL, Microsoft office, and Google Work suite)
• Assist manager with daily supervisory oversight, training staff and implementing new policies and procedures.
• Strong knowledge of/ or experience in Core Brokerage Operations functions

Education and/or Experience

• Minimum of 2-3 years’ experience in the financial industry, preferably in roles related to: securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, new accounts
• Bachelor degree in Finance, Business Administration or equivalent experience required
• FINRA SIE and FINRA Series 99 required (or willingness to obtain within 90 days of employment; Series 7 is preferred.
• Experience working with internal and external stakeholders.
• Financial services experience a plus

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, and responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Our Rewards

• We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), 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.

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. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.

At Apex, we aim to enable frictionless investing for everyone. Help us in our mission to democratize finance.

In every office, you’ll find passionate, committed, dedicated teams driven to find smart solutions to solve our clients’ toughest challenges. We are passionate about our employees, providing the benefits and perks that elevate you, reward you, and help you give back. We provide great flexibility, a collaborative, open work space, and real potential to grow with the firm.