Apex Clearing Corporation - Belfast, ME
posted 2 months ago
Apex Fintech Solutions is a leading entity in the financial services industry, recognized for its sophisticated clearing services. The Operations Specialist (ACATS) plays a critical role within our Operations group, focusing on the end-to-end process of transferring customer accounts between financial organizations. This position is essential for ensuring accuracy, efficiency, and compliance with industry regulations. The ideal candidate will demonstrate a strong sense of ownership and accountability, ensuring that our operational excellence standards are consistently met, particularly in the area of securities processing. In this role, you will be responsible for performing day-to-day ACATS operations, emphasizing accuracy and promptness in processing transactions. You will coordinate with internal teams and external brokerage firms to facilitate smooth account transfers, monitor and resolve any issues or discrepancies that arise during the transfer process. Additionally, you will work closely with both internal and external customers, providing assistance with daily incoming and outgoing ACAT and Non-ACAT requests, ensuring that customer inquiries are completed in accordance with service level agreement guidelines. As part of your responsibilities, you will also conduct supervisory oversight on a daily basis, ensuring that ACAT requests are processed while adhering to deadlines. You will be familiar with ACAT regulations and industry standards governing both ACAT and non-ACAT transfers, identifying any documentation or processing irregularities and outlining corrective measures. Furthermore, you will pinpoint and implement refinements to current operational workflows to boost efficiency, ensuring that operations align with industry protocols, regulatory demands, and company policies. Collaboration with cross-functional teams, external entities, and clients will be key to clarifying inquiries, addressing issues, and guaranteeing exceptional service delivery.