Operations Specialist (Investor Communications)

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, powering 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—digitizing and democratizing systems so that everyone has an opportunity to invest. Our global team of over 1,000 employees across Austin, Dallas, Chicago, New York, Portland, Belfast, and Manila is shaping the future of financial innovation.

About the Role

The Operations Specialist (Investor Communications) will work with both internal stakeholders and clients to ensure delivery and accurate representation of regulatory and non-regulatory communications, such as trade confirmations and statements. The role involves daily processes and project-oriented work to make Apex Fintech Solutions a best-in-class solution for investor communications.

Responsibilities

• Core Investor Communications Operations:
  • Assist in the preparation and review of investor documentation, including agreements, disclosures, and compliance-related materials.
  • Ensure Investor Communications requests are processed while adhering to processing deadlines.
  • Perform regular reconciliation to ensure compliance.
• Client Service:
  • Work with and provide assistance to internal and external stakeholders, such as Apex internal teams, third-party vendors, and customers.
  • Ensure customer inquiries are completed in accordance with service level agreement guidelines.
  • Respond to inquiries professionally and timely, escalating issues to management as needed.
  • Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements.
• Supervisory Oversight, Compliance, and Risk Management:
  • Review and complete supervisory oversight daily, providing updates to management regarding any issues with client documentation or regulatory compliance.
  • Ensure all investor communications adhere to regulatory and compliance standards.
  • Identify documentation/processing irregularities and outline corrective measures.
  • Identify opportunities for improving documentation processes and workflows.

Requirements

• Bachelor's degree in Finance, Business Administration, Communications, or a related field or equivalent experience.
• 2+ years of prior experience, preferably in financial services.
• FINRA SIE and Series 7 preferred (or willingness to obtain them).

Skills

• Familiarity with communication regulations and industry standards that govern regulatory investor communications.
• Detail-oriented with a focus on customer satisfaction.
• Proficiency in Microsoft 365.
• Experience working with internal and external clients.
• Strong customer service and problem-solving skills.
• Ability to multitask and prioritize while maintaining strong attention to detail.

Benefits

• Healthcare benefits (medical, dental, vision, EAP).
• Competitive PTO.
• 401k match.
• Parental leave.
• HSA contribution match.
• Paid subscription to the Calm app.
• Generous external learning and tuition reimbursement benefits.

At AFS, we offer a hybrid work schedule for most roles, allowing employees the flexibility of working from home and one of our primary offices.