Senior Manager, Securities Processing (Corporate Actions)

APEX Fintech Services • Dallas, TX

1d • 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. The 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. The Senior Manager sets the direction for how the team scales, controls risk, and improves over time.

The role leads and develops analysts, specialists, team leads, and supervisors; establishes team priorities and operating practices; and ensures consistent processes, coverage, and communication across locations. It owns the team’s control environment, including SOC1 and audit responsibilities, remediation of findings, and post-incident reviews with formal corrective actions. The Senior Manager also partners with Product and Engineering on platform enhancements and automation, assesses the effects of new products and market structure changes, and contributes to headcount planning, staffing models, and budget input.

Apex Fintech Solutions powers digital wealth management and access to financial markets. The company describes a hybrid schedule for most roles, with flexibility to work from home and from one of its primary offices.

Requirements

• Bachelor’s degree or equivalent experience in financial services operations.
• At least 5 years of experience in corporate actions, securities processing, or brokerage operations.
• At least 4 years of people-leadership experience.
• 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 and mandatory corporate action events, and reorganization workflows.
• Strong cross-functional coordination skills with Compliance, Risk, Trading, and Client Services.

Responsibilities

• Manage and develop corporate actions analysts and specialists who process events across multiple platforms and systems.
• Oversee daily workflow, queue management, and SLA adherence for mandatory and voluntary events, including splits, mergers, tender offers, dividends, DRIP, and reorganizations.
• Serve as the primary escalation point for complex or time-sensitive events, including client and correspondent-firm issues.
• Partner 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 and 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.
• 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 and resolution using standard ticketing and workflow tools.
• Set the team’s priorities and operating model, translate department goals into objectives and measurable targets, and create a roadmap for scaling volume without scaling risk.
• Lead team members across multiple locations, ensuring consistent processes, coverage, and communication.
• Develop team leads and supervisors and plan 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 deliver platform enhancements and automation.
• Lead executive-level escalations and relationship management with vendors, industry utilities such as 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 through regular reporting on performance, risk, and resourcing.

Benefits

• Healthcare benefits, including medical, dental, vision, and EAP.
• Competitive PTO.
• 401(k) match.
• Parental leave.
• HSA contribution match.
• Paid Calm app subscription.
• External learning benefits.
• Tuition reimbursement.
• Hybrid work schedule for most roles, with flexibility to work from home and from a primary office.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior