Manager, Operations (Alternative Investments)

Apex Fintech Solutions • Dallas, TX

97d

About The Position

We are looking for a highly skilled and motivated Manager, Operations (Alternative Investments) to oversee day-to-day operations and ensure smooth, efficient, and productive business workflows. The manager will play a key role in improving organizational processes in our Alternative Investments department to maximize performance while also fostering a positive work environment. The ideal candidate combines strategic thinking with hands-on management experience. A working knowledge of alternative investments and a financial clearing background is preferred.

Requirements

• Bachelor’s degree (or equivalent work experience) required.
• 5+ years in brokerage or financial services operations required.
• 2+ years of people leadership experience required.
• Experience in working with product and software engineering teams and end to end testing preferred.
• FINRA SIE, Series 7, and Series 24 license(s) required.

Nice To Haves

• Proficiency in Microsoft Office, particularly Excel.
• Knowledge of SQL, API Payloads, and data organization is highly desirable.
• Familiarity with FINRA and SEC guidelines affecting brokerage operations.

Responsibilities

• Monitor and resolve critical operations exceptions across both Operations and Onboarding teams.
• Ensure all essential workflows and processes are functioning efficiently and issues are addressed promptly.
• Address a diverse range of customer inquiries and requests via email and phone, delivering timely, accurate information to ensure high client satisfaction.
• Continuously update and maintain expertise in FINRA and SEC regulations related to operational functions, ensuring strict regulatory compliance and safeguarding operational integrity.
• Review and analyze existing processes and systems. Identify bottlenecks and propose/implement strategies for optimizing workflows and resource utilization.
• Develop and maintain WSPs (Written Supervisory Procedures), desktop procedures, and other process documentation to support operational consistency and clarity.
• Collaborate with alternative investment issuers to foster business growth opportunities and establish productive partnerships.
• Coach, train, and mentor associates within the department. Promote a collaborative and continuously improving work environment.
• Oversee the achievement and management of service level agreements (SLAs), ensuring targets are consistently met.
• Work alongside Product and Technology teams to communicate operational needs and drive enhancements for systems and tools supporting the department's function.

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
• Hybrid work schedule allowing flexibility of working from home and one of our primary offices.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree