Senior Manager, Corporate Actions & Securities Ops

PEAK6; Texas; Hybrid; USD 120,000 - 165,000; Full time

Benefits offered by this job

Healthcare benefits (medical, dental,,

401k match

Parental leave

HSA contribution match

Tuition reimbursement

Job summary

Apex Fintech Solutions is seeking a Senior Manager, Securities Processing (Corporate Actions) to lead a team responsible for processing corporate action events across multiple internal systems and locations. You will oversee day-to-day operations, drive performance, and ensure compliant handling of events while scaling the function.

You will partner with Compliance, Billing, Trading, Risk, and Client Services to close gaps, improve automation, and manage vendor relationships.

Qualifications

• Bachelor's degree or equivalent experience in financial services operations.
• 5+ years in corporate actions, securities processing, or brokerage operations, including 4+ years in a people-leadership capacity.

Responsibilities

• Manage and develop a team of corporate actions analysts/specialists handling event processing across multiple platforms and systems.
• Oversee daily workflow, queue management, and SLA adherence for mandatory and voluntary events (splits, mergers, tender offers, dividends, DRIP, reorganizations, etc.).
• Serve as primary escalation point for complex or time-sensitive events, including client/correspondent firm issues.
• Partner cross-functionally with Compliance, Billing, Trading, Risk, and Client Services to resolve event-related issues and close process gaps.
• Support vendor and client relationship management with industry utilities, clearing partners, and correspondent firms
• Monitor team output against internal control requirements; support audit and compliance reconciliation processes
• Identify and drive process improvements to reduce manual touchpoints and processing errors
• Train, coach, and performance-manage direct reports; support hiring and onboarding for the team
• Maintain working knowledge of CUSIP changes, ACATS, omnibus account structures, due bills, and related securities processing concepts
• Track and report team metrics, open items, and incident root cause/resolution using standard ticketing and workflow tools
• Set the team's priorities and operating model, translating department goals into clear objectives, measurable targets, and a roadmap for scaling volume without scaling risk
• Lead team members across multiple locations, ensuring consistent processes, coverage, and communication
• Build leadership depth by developing team leads and supervisors and planning for succession and coverage
• Own the team's control environment, including SOC1 and audit responsibilities, remediation of findings, and post-incident reviews with formal corrective actions
• Partner with Product and Engineering to define requirements, prioritize, test, and drive delivery of platform enhancements and automation
• Lead executive-level escalations and relationship management with vendors, industry utilities (DTC/DTCC), and correspondent firms
• Assess the impact of new products and market structure changes on corporate action processing, and lead team readiness
• Contribute to headcount planning, staffing models, and budget input; represent the team to senior leadership with regular reporting on performance, risk, and resourcing

Skills

Corporate actions

Securities processing

People leadership

Cross-functional coordination

Regulatory compliance

Client/vendor coordination

Education

Bachelor's degree

Tools

Broadridge BPS/Classic

Ascend

Job description

Apex Fintech Solutions is seeking a Senior Manager, Securities Processing (Corporate Actions) to lead a team responsible for processing corporate action events across multiple internal systems and locations. You will oversee day-to-day operations, drive performance, and ensure compliant handling of events while scaling the function.

You will partner with Compliance, Billing, Trading, Risk, and Client Services to close gaps, improve automation, and manage vendor relationships.