Senior Manager, Securities Processing (Corporate Actions)

PEAK6; Texas; Hybride; USD 120 000 - 165 000; Plein temps

Avantages offerts par ce poste

Healthcare benefits (medical, dental,,

401k match

Parental leave

HSA contribution match

Tuition reimbursement

Résumé du poste

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.

Responsabilités

• 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

Connaissances

Corporate actions

Securities processing

People leadership

Cross-functional coordination

Regulatory compliance

Client/vendor coordination

Formation

Bachelor's degree

Outils

Broadridge BPS/Classic

Ascend

Description du poste

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.

Awards

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

ABOUT THIS ROLE

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 processing systems and locations. This role owns day-to-day operational execution, team performance, and cross-functional coordination to ensure accurate, timely, and compliant handling of mandatory and voluntary corporate action events, and sets the direction for how the team scales, controls risk, and improves over time.

Key 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

Education/Experience

• 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
• Demonstrated experience managing team leads or supervisors, or leading multiple teams or locations
• Track record of leading a team through process change, platform migration, or system implementation

Preferred Qualifications

• Experience with Broadridge BPS/Classic and/or Ascend platforms
• Familiarity with DTC/DTCC processing, voluntary/mandatory corporate action events, and reorg workflows
• Strong cross-functional coordination skills (Compliance, Risk, Trading, Client Services)

Required FINRA Licenses

• Series 7 and Series 99

Our Rewards

• healthcare benefits (medical, dental and vision, EAP)
• competitive PTO
• 401k match
• parental leave
• HSA contribution match
• paid subscription to the Calm app
• generous external learning and tuition reimbursement benefits
• 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.

Additional Information

At Apex, we stand for efficiency and transparency. 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.