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About the Role
The Operations Specialist (Investor Communications) will ensure the accurate delivery and representation of regulatory and non-regulatory communications, such as trade confirmations and statements, while maintaining client branding and compliance. This role involves daily processes and project work to enhance Apex Fintech Solutions' investor communications capabilities.
Responsibilities
- 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.
- Work with and provide assistance to internal and external stakeholders, such as Apex internal teams, third party vendors, and customers.
- Ensure that customer inquiries are completed in accordance with service level agreement guidelines.
- Ensure that inquiries are responded to in a professional and timely manner and escalating issues to management.
- Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements.
- On a daily basis review and complete supervisory oversight and provide 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 and focused 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.
Location
- Austin
- Dallas
- Chicago
- New York
- Portland
- Belfast
- Manila
Work Type
- Hybrid
Experience Level
- Associate
Education Level
- Bachelor's degree
Benefits
- 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
About the Company
- 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.
- Best Places to Work 2026, 2025, 2024, 2023 - Presented by BuiltIn
- WealthTech of the Year 2025 - Presented by US FinTech Awards
- The World’s Top 250 Fintech Companies 2024 - Presented by CNBC
Equal Opportunity
- 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.
- 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.