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Execution Services Analyst

Company: Apex Clearing Corporation
Location: Dallas
Posted on: February 25, 2021

Job Description:

Apex is the custody and clearing engine for the future of digital wealth. We help our clients provide the seamless digital experiences today's consumers expect, reach more investors, and serve them profitably. We deliver unmatched speed, efficiency and flexibility to firms ranging from innovative start-ups to blue-chip brands focused on growth. We are currently searching for an Execution Services Analyst to join our Execution Services division. The Execution Services Division delivers industry-leading trading solutions for our Broker/Dealer and Registered Investment Advisor customers. We enable them to trade across multiple asset classes while navigating an increasingly complex regulatory landscape. Our team of industry professionals collaborate and consult with our customers to deliver trading solutions that align with their needs and objectives. Internally, our projects allow us to work across the organization including the trade desk, compliance, technology and onboarding teams. To support these efforts, we work across many aspects of the business including trading, onboarding, regulatory reporting, and trading systems integration If you are looking to learn about trading, compliance and the inner workings of the market, we offer a great opportunity to do so! Primary Responsibilities:

  • Work with the Apex Trade Desk to support daily trading and systems operations.
  • Manage and lead project work aligned with the goals of the Execution Services Team.
  • Interact with trading technology providers to facilitate trading systems integration.
  • Responsible for adhering to and updating written supervisory procedures, controls and partnering with compliance as needed.
  • Perform regulatory reviews to ensure that trades are properly reported to the appropriate authorities (FINRA, TRACE.)
  • Collaborate with internal teams to support the successful onboarding of new trading customers.
  • Assist in month end reconciliations where necessary.
  • Work with the Compliance Team to answer regulatory inquiries from FINRA, SEC and other regulatory entities. Qualification Requirements:
    • College degree in related field preferred.
    • 2+ years of work experience in a relevant securities-related field
    • FINRA Series 7, 63 preferred or willingness to achieve them shortly after coming on board.
    • Strong interest in the financial markets and the technologies that support them.
    • Risk-focused and not afraid to raise issues and escalate appropriately.
    • Working knowledge of securities (equities, Options, FX, Bonds.)
    • Excellent customer service and communications as the role is a customer facing position.
    • Working knowledge of the FIX (Financial Information Exchange) Protocol.
    • Proficient with Jira, Netsuite, SQL, MS Office.
    • Highly organized with exceptional attention to detail and follow-through.
    • Team player with a positive attitude and strong work ethic.
    • Strong communication skills both written and verbal.
    • Ability to work in a fast-paced environment.
    • Must be able to demonstrate good judgment and prioritization in a multi-task environment. Have a full understanding of the securities industry in general and clearing specifically. Are you legally authorized to work in the United States? --*
      Will you now or in the future require sponsorship for U.S. work authorization? --*
      U.S. Equal Opportunity Employment Information (Completion is voluntary) Individuals seeking employment at Apex Clearing are considered without regards to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, gender identity, or sexual orientation. You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity/Affirmative Action record keeping, reporting, and other legal requirements. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. Gender Are you Hispanic/Latino? Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Form CC-305 OMB Control Number 1250-0005 Expires 05/31/2023 Voluntary Self-Identification of DisabilityWhy are you being asked to complete this form? We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years. Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . How do you know if you have a disability? You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition. Disabilities include, but are not limited to:
      • Autism
      • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
      • Blind or low vision
      • Cancer
      • Cardiovascular or heart disease
      • Celiac disease
      • Cerebral palsy
      • Deaf or hard of hearing
      • Depression or anxiety
      • Diabetes
      • Epilepsy
      • Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
      • Intellectual disability
      • Missing limbs or partially missing limbs
      • Nervous system condition for example, migraine headaches, Parkinson's disease, or Multiple sclerosis (MS)
      • Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression Disability Status 1 Section 503 of the Rehabilitation Act of 1973, as amended. For more information about this form or the equal employment obligations of Federal contractors, visit the U.S. Department of Labor's Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Keywords: Apex Clearing Corporation, Dallas , Execution Services Analyst, Professions , Dallas, Texas

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