Sr Dir, Operations - Settlements and Purchase & Sale

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. We're digitizing and democratizing systems so that everyone has an opportunity to invest. 

When you're at Apex, you drive this change. You're 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 1,000 employees. 

Together, we’re 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. 

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

Best Places to Work 

2026, 2025, 2024, 2023 - Presented by BuiltIn 

WealthTech of the Year 

2025 - Presented by US FinTech Awards 

The World’s Top 250 Fintech Companies 

2024 - Presented by CNBC 

ABOUT THIS ROLE

Apex is seeking an experienced Director, Operations - Settlements and Purchase & Sale (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.

• P&S 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, spin‑offs, 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 15c3‑3; 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 high‑performing team; build structured learning paths and training on options/OCC and complex scenarios; establ