Peak6 Investments LLC
Senior Director, Brokerage Services
Peak6 Investments LLC, County Line, Alabama, United States,
Apex Fintech Solutions (AFS) powers innovation and the future of digital wealth management by processing millions of transactions daily, to simplify, automate, and facilitate access to financial markets for all. Our robust suite of fintech solutions enables us to support clients such as Stash, Betterment, SoFi, and Webull, and more than 20 million of our clients' customers.Collectively, AFS creates an environment in which companies with the biggest ideas in fintech are empowered to change the world. We are based in Dallas, TX and also have offices in Austin, New York, Chicago, Portland, and Belfast.If you are seeking a fast-paced and entrepreneurial environment where you'll have the opportunity to make an immediate impact, and you have the guts to change everything, this is the place for you.AFS has received a number of prestigious industry awards, including:2021, 2020, 2019, and 2018 Best Wealth Management Company - presented by Fintech Breakthrough Awards2021 Most Innovative Companies - presented by Fast Company2021 Best API & Best Trading Technology - presented by Global Fintech AwardsABOUT THIS ROLEApex Fintech Solutions is seeking a
Senior Director, Brokerage Services
who will play a pivotal role in evolving and leading the digital transformation within the fintech landscape. The senior director will primarily focus on developing new business opportunities, enhancing client experiences, and driving operational excellence. Apex is the custody and clearing engine for the future of digital wealth. We help our clients provide seamless digital experiences, reach more investors, and serve them profitably. We deliver unmatched speed, efficiency, and flexibility to firms ranging from innovative start-ups to established blue-chip brands focused on growth.Duties/ResponsibilitiesDefine, implement, and support customers utilizing Apex Brokerage Services (ABS).Understand and report on the Profit and Loss (P&L) for the business, including all associated costs and revenue components.Establish daily operational processes to ensure investors are using the service efficiently and correctly.Build and manage a comprehensive risk process to ensure investors operate within set boundaries and product guidelines.Collaborate with the product management team to define tools and business rules needed to optimize client experience and service automation.Ensure the business remains competitive with street business lines and pricing.Develop and offer business growth incentives that drive transactions, Assets Under Custody (AUC), and scalability.Create ABS reporting, management structures, and compliance measures to support the role of broker of record.Oversee KYC (Know Your Customer) and suitability reviews and management using tools and business rules.Track all customer complaints and drive changes to enhance the digital experience.Drive a comprehensive service model for our emerging outsourced brokerage service (Apex Direct) and Customer Service (CS) Operations.Manage the Client Experience program to harmonize interactions and service ticket resolutions across the firm.Define key metrics and report on client experience monthly.Education and/or ExperienceBachelor’s degree in Business Administration, Finance, or other related field (or equivalent work experience); Master's preferred.10+ years of prior work experience and 5+ years of experience as a people manager.5+ years of direct customer/investor experience supporting a business targeting retail customers.Proven track record with a broker-to-customer offering.FINRA Series 7, 24, and 63 License(s) required.Required/Skills AbilitiesStrong knowledge of custody and clearing operations, regulatory requirements, and industry best practices.Extensive knowledge in risk/margin, options, equities, mutual funds, and fixed income.Proven leadership and team management skills.Excellent analytical, problem-solving, and decision-making abilities.Strong communication and interpersonal skills.Ability to thrive in a fast-paced, dynamic environment.This job operates in an office environment.Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.Our RewardsWe 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.Diversity, Equity, Inclusion, and Belonging (DEIB) CommitmentWe're looking for all kinds of people. At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.Apex is committed to being an equal opportunity employer.
We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.
Know your rights: workplace discrimination is illegal.
We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
#J-18808-Ljbffr
Senior Director, Brokerage Services
who will play a pivotal role in evolving and leading the digital transformation within the fintech landscape. The senior director will primarily focus on developing new business opportunities, enhancing client experiences, and driving operational excellence. Apex is the custody and clearing engine for the future of digital wealth. We help our clients provide seamless digital experiences, reach more investors, and serve them profitably. We deliver unmatched speed, efficiency, and flexibility to firms ranging from innovative start-ups to established blue-chip brands focused on growth.Duties/ResponsibilitiesDefine, implement, and support customers utilizing Apex Brokerage Services (ABS).Understand and report on the Profit and Loss (P&L) for the business, including all associated costs and revenue components.Establish daily operational processes to ensure investors are using the service efficiently and correctly.Build and manage a comprehensive risk process to ensure investors operate within set boundaries and product guidelines.Collaborate with the product management team to define tools and business rules needed to optimize client experience and service automation.Ensure the business remains competitive with street business lines and pricing.Develop and offer business growth incentives that drive transactions, Assets Under Custody (AUC), and scalability.Create ABS reporting, management structures, and compliance measures to support the role of broker of record.Oversee KYC (Know Your Customer) and suitability reviews and management using tools and business rules.Track all customer complaints and drive changes to enhance the digital experience.Drive a comprehensive service model for our emerging outsourced brokerage service (Apex Direct) and Customer Service (CS) Operations.Manage the Client Experience program to harmonize interactions and service ticket resolutions across the firm.Define key metrics and report on client experience monthly.Education and/or ExperienceBachelor’s degree in Business Administration, Finance, or other related field (or equivalent work experience); Master's preferred.10+ years of prior work experience and 5+ years of experience as a people manager.5+ years of direct customer/investor experience supporting a business targeting retail customers.Proven track record with a broker-to-customer offering.FINRA Series 7, 24, and 63 License(s) required.Required/Skills AbilitiesStrong knowledge of custody and clearing operations, regulatory requirements, and industry best practices.Extensive knowledge in risk/margin, options, equities, mutual funds, and fixed income.Proven leadership and team management skills.Excellent analytical, problem-solving, and decision-making abilities.Strong communication and interpersonal skills.Ability to thrive in a fast-paced, dynamic environment.This job operates in an office environment.Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.Our RewardsWe 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.Diversity, Equity, Inclusion, and Belonging (DEIB) CommitmentWe're looking for all kinds of people. At Apex, we believe that wealth management and investing should be accessible to everyone, and we strive to create spaces to democratize investing for folks of all walks of life. Internally, we embrace diversity and are dedicated to creating an inclusive and equitable workplace, which reflects our company vision and mission. We value every team member's unique perspective and are committed to fostering a culture where everyone belongs. Join us in our mission to empower and celebrate individual differences.Apex is committed to being an equal opportunity employer.
We ensure that qualified applicants receive fair consideration for employment without discrimination based on sex, gender identity, gender expression, sexual orientation, race, color, natural or protective hairstyle, genetics, religion, national origin, disability, protected veteran status, age, or any other characteristic protected by law.
Know your rights: workplace discrimination is illegal.
We stand by this commitment to promote a diverse, equitable, and inclusive workforce.
#J-18808-Ljbffr