ABOUT THIS ROLE
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.
Key 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
Education/Experience:
- 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
Preferred Qualifications:
- 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)
Required FINRA Licenses:
#operations #mid-senior #fulltime #LI-MJ1 #APEX
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.
