Senior Director, Operations Settlements (P&S)

WHO WE ARE

Apex Fintech Solutions (Apex) powers innovation and the future of digital wealth management by building tech-forward solutions that help simplify automate and facilitate access to financial markets for all. Our robust suite of fintech software enables us to support clients such as Stash Betterment SoFi Webull and eToro amongst many others; collectively Apex powers access to the stock market for over 22 million end customers.

At Apex we are changing how the securities industry operates by reinventing the status quo which was manual slow and accessible only by the ultra-wealthy. Were digitizing and democratizing systems so that everyone has an opportunity to invest.

When youre at Apex you drive this change. Youre part of a global team with a clear vision: to be the trusted technology that powers the digital economy. Our offices in Austin Dallas Chicago New York Portland Belfast and Manila are home to over 1000 employees.

Together were shaping the future of financial innovation. Embrace change. Solve big. Win together. And be G.R.E.A.T. grit results empathy accountability and teamwork with Apex.

Were proud to be recognized for the innovative work we do the purpose-driven nature of our work and the collaborative culture weve created. Here are just a few of the many awards weve recently received:

Best Places to Work

- Presented by BuiltIn

WealthTech of the Year

2025- Presented by US FinTech Awards

The Worlds Top 250 Fintech Companies

2024- Presented by CNBC

ABOUT THIS ROLE

Apex is seeking an experienced Senior Director Operations - Settlements (P&S) to lead our post-trade operations and drive the strategic vision for our settlements function. This senior leadership role requires deep expertise in settlement processes with particular emphasis on options processing and OCC operations regulatory compliance and operational risk management across multiple asset classes. The ideal candidate will be both a strategic thinker and exceptional people developer who can elevate our settlements capabilities while building a world-class team to ensure flawless execution.

Duties/Responsibilities

• Strategy and roadmap: Define and execute a multi-year settlements/P&S strategy aligned to growth automation and STP; lead make-vs-buy decisions vendor selection and investment cases.

• Core settlements: Oversee daily settlement across equities fixed income derivatives and alternatives; manage affirmations/allocations/confirmations; minimize fails and aged exposures; resolve breaks/exceptions; direct DTC NSCC Fedwire OCC activities.

• Options/OCC: Lead options clearing/settlement exercises/assignments expiration management and pin risk; position reconciliation margin collateral; corporate action adjustments and deliverables; complex strategies (spreads combos multi-leg); primary liaison to OCC on operations risk technology; manage trade matching allocation and give-ups.

• Purchase & Sales functions: Ensure accurate booking allocation and pricing; produce client confirmations/statements; oversee street-side matching/comparison; commissions options premium and fee processing billing; corporate actions (dividends interest reorganizations spinoffs proxy); special deliverables.

• Risk and compliance: Implement robust controls for operational/credit/settlement risk (with options focus); ensure compliance with SEC FINRA OCC DTC rules including Reg SHO and Rule 15c33; lead audits; maintain policies procedures and DR plans; monitor exercise/assignment exposures.

• Technology and process improvement: Enhance settlement systems and OCC connectivity; increase automation/STP; evaluate and implement vendor solutions; lead system upgrades/integrations; use analytics to surface trends risks and opportunities.

• Leadership and team development: Hire mentor and grow a highperforming team; build structured learning paths and training on options/OCC and complex scenarios; establish KPIs/SLAs; manage staffing and workflows; drive a culture of excellence accuracy and continuous improvement; succession planning and crossfunctional resilience.

• Relationship management: Primary contact for OCC DTC NSCC custodians primes and clearing firms; partner with front/middle office compliance finance and client service; communicate issues and initiatives to senior stakeholders; represent Apex at industry forums and OCC member meetings.

Education and/or Experience

• Bachelors in Finance Business Accounting or related field (or equivalent work experience) required

• 12 years in settlements/P&S/posttrade operations/multiasset experience.

• 5 years in senior leadership with proven strategic planning and transformation.

• FINRA Series 7 and 24 licenses required (or willingness to obtain)

• Experience in brokerdealer prop trading market maker or institutional AM with significant options activity.

• Track record building highperforming teams and delivering training.

• Experience with largescale project management/implementations preferred

Required Skills/Abilities

• Strong analytical problemsolving decisionmaking and communication skills.

• Familiarity with OCC systems (e.g. ENCORE).

• Familiarity with options margin methodology and risk calculations.

• Deep knowledge of securities settlement and clearance (DTC NSCC Fedwire OCC) and industry standards.

• Deep knowledge of listed options processing and OCC clearing

• Knowledge of OMS/EMS options trading platforms settlement systems and reconciliation tools preferred.

• Comprehensive regulatory expertise (SEC Rule 15c33 Reg SHO FINRA OCC).

• Ability to train and develop others

• Strategic vision with operational rigor; accuracy under pressure (especially expirations).

• Collaborative changeready ethical and focused on continuous improvement.

Work Environment

• This job operates in a a hybrid office environment 3 days per week.

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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.

Salary Range

The annual base salary range for this position is noted above. Exact compensation offered may vary depending on job-related knowledge skills experience and office location.

EEO Statement

Apex Fintech Solutions is an equal opportunity employer that does not discriminate on the basis of race color religion sex (including pregnancy sexual orientation and gender identity) national origin age disability veteran status marital status or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.

Disability Statement

Apex Fintech Solutions is committed to creating an inclusive and accessible workplace for all candidates including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process please submit your request via the Candidate Accommodation Requests Form. We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.