ABOUT THIS ROLE
Apex Fintech Solutions is an agency-focused broker-dealer executing trades on behalf of introducing firms and their clients across equities, options, fixed income, and currencies. We are seeking an experienced Agency Trader to join our Dallas trading desk, where precision, regulatory rigor, and strong client relationships drive everything we do.
This role is well-suited to a trader who thrives in a high-volume, deadline-driven environment and wants to work closely with both internal teams and external introducing firms to deliver best-in-class execution.
Duties/Responsibilities
- Trade Execution: Execute client and firm orders across equities, options, fixed income, and currencies, ensuring optimal execution quality and full compliance with applicable regulatory requirements.
- Trade Issue Resolution: Identify, investigate, and resolve trade errors and discrepancies quickly and accurately, escalating as needed.
- Risk Management: Monitor market exposure in real time; apply risk mitigation strategies to limit potential losses.
- Reporting and Compliance: Maintain accurate trade records and ensure timely, accurate regulatory reporting (including CAT and TRACE), in line with firm policy and industry regulation.
*This list reflects primary duties and is not exhaustive. Responsibilities may evolve based on business needs.*
Required Skills/Abilities
- Experience: 3–5+ years of trading experience, with direct exposure to at least two of the following: equities, options, fixed income, currencies. Experience across all four is a plus.
- Market Structure Knowledge: Working knowledge of market structure, trading workflows, and regulatory frameworks across relevant asset classes.
- Regulatory & Compliance Knowledge: Familiarity with trade reporting requirements (CAT, TRACE, and MSRB reporting if fixed income includes municipals) and general securities compliance procedures.
- Trade Lifecycle Expertise: Practical experience with trading and securities operations, including trade lifecycle management and industry best practices.
- Analytical Skills: Strong problem-solving ability, with a track record of diagnosing and resolving trading issues under time pressure.
- Technology: Hands-on experience with order/execution management systems (OMS/EMS) and familiarity with algorithmic trading strategies and tools.
- Communication: Strong verbal and written communication skills; able to explain complex trading matters clearly to both technical and non-technical stakeholders.
- Decision-Making: Sound judgment under pressure, with the ability to manage multiple priorities in a fast-paced desk environment.
Education & Licensing
- Bachelor's degree in Finance, Economics, or a related field required.
- Active SIE, Series 7, and Series 63 required.
- Series 57 required; candidates without it must obtain it within 60 days of hire.
Work Environment & Schedule
- Hybrid, office-based role in Dallas, TX.
- Hours generally align with U.S. market open/close; some early start or extended hours may be required around market events.
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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 Rewards
We 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.
