Senior Manager, Securities Processing (Corporate Actions)

Apex Fintech Solutions•Dallas, TX

3d•Hybrid

About The Position

Apex Fintech Solutions is seeking a Senior Manager, Securities Processing (Corporate Actions) to lead a team responsible for processing corporate action events across multiple internal processing systems and locations. This role owns day-to-day operational execution, team performance, and cross-functional coordination to ensure accurate, timely, and compliant handling of mandatory and voluntary corporate action events, and sets the direction for how the team scales, controls risk, and improves over time.

Requirements

Bachelor's degree or equivalent experience in financial services operations
5+ years in corporate actions, securities processing, or brokerage operations, including 4+ years in a people-leadership capacity
Demonstrated experience managing team leads or supervisors, or leading multiple teams or locations
Track record of leading a team through process change, platform migration, or system implementation
Required FINRA Licenses: Series 7 and Series 99

Nice To Haves

Experience with Broadridge BPS/Classic and/or Ascend platforms
Familiarity with DTC/DTCC processing, voluntary/mandatory corporate action events, and reorg workflows
Strong cross-functional coordination skills (Compliance, Risk, Trading, Client Services)

Responsibilities

Manage and develop a team of corporate actions analysts/specialists handling event processing across multiple platforms and systems
Oversee daily workflow, queue management, and SLA adherence for mandatory and voluntary events (splits, mergers, tender offers, dividends, DRIP, reorganizations, etc.)
Serve as primary escalation point for complex or time-sensitive events, including client/correspondent firm issues
Partner cross-functionally with Compliance, Billing, Trading, Risk, and Client Services to resolve event-related issues and close process gaps
Support vendor and client relationship management with industry utilities, clearing partners, and correspondent firms
Monitor team output against internal control requirements; support audit and compliance reconciliation processes
Identify and drive process improvements to reduce manual touchpoints and processing errors
Train, coach, and performance-manage direct reports; support hiring and onboarding for the team
Maintain working knowledge of CUSIP changes, ACATS, omnibus account structures, due bills, and related securities processing concepts
Track and report team metrics, open items, and incident root cause/resolution using standard ticketing and workflow tools
Set the team's priorities and operating model, translating department goals into clear objectives, measurable targets, and a roadmap for scaling volume without scaling risk
Lead team members across multiple locations, ensuring consistent processes, coverage, and communication
Build leadership depth by developing team leads and supervisors and planning for succession and coverage
Own the team's control environment, including SOC1 and audit responsibilities, remediation of findings, and post-incident reviews with formal corrective actions
Partner with Product and Engineering to define requirements, prioritize, test, and drive delivery of platform enhancements and automation
Lead executive-level escalations and relationship management with vendors, industry utilities (DTC/DTCC), and correspondent firms
Assess the impact of new products and market structure changes on corporate action processing, and lead team readiness
Contribute to headcount planning, staffing models, and budget input; represent the team to senior leadership with regular reporting on performance, risk, and resourcing