PEAK6

Director

• Develop and execute a comprehensive onboarding strategy for clients, ensuring alignment with Apex’s business objectives and industry best practices.
• Lead, mentor, and manage members of the Client Onboarding team, fostering a high-performance culture focused on delivering exceptional service to institutional clients.
• Serve as the senior point of contact for client firms during onboarding, providing executive-level support, guidance, and escalation management to resolve complex issues efficiently.
• Build and maintain strategic relationships with clients, sales, relationship managers, service organizations, and internal onboarding teams to provide transparency and clarity throughout the onboarding journey.
• Oversee critical partnerships and integrations with leading financial technology platforms, proactively addressing risks and removing barriers to timely onboarding.
• Drive operational excellence by identifying process improvements, managing quality assurance initiatives, and leveraging technology to enhance workflow efficiency and data accuracy.
• Provide regular reporting and executive dashboards to senior management, offering insights into pipeline activity, onboarding status, and client experience metrics.
• Ensure compliance with regulatory requirements, internal controls, and industry standards in all onboarding operations.

Director, Client Delivery

IT Support

• Facilitate domain-specific program syncs, standups, and team coordination
• Support the domain's quarterly planning and capacity management
• Track domain initiatives, features, and epic health
• Manage dependencies within and across domains
• Ensure Jira hygiene and adherence to product operating model for the domain
• Guide domain teams on change management and prioritization processes
• Maintain accurate data in Jira Plan View for domain work
• Support teams in following established standards and best practices
• Provide visibility into what the domain team is working on and why
• Report on domain program status to leadership
• Track and communicate risks, blockers, and dependencies
• Bridge communication between domain teams and leadership

IT Project Manager

Business Operations

• Serve as the primary Operational Organization representative during technology incidents and operational disruptions
• Partner with the Incident Management Problem Manager as the business liaison when operational issues require an operational response
• Triage and prioritize operational issues based on client impact, business risk, and regulatory considerations
• Provide real-time status updates to business stakeholders and leadership during active incidents
• Escalate critical issues to appropriate stakeholders with clear business context and impact analysis
• Ensure business priorities and client considerations are represented in the team's incident management processes
• Contribute clearing and custody domain expertise (settlements, corporate actions, margin, trade processing, regulatory requirements) to the Incident Management’s team-led postmortem analysis sessions
• Participate as a business subject matter expert in cross-functional Postmortem Analysis sessions facilitated by the Incident Management Problem Manager
• Provide operational context and business impact assessment to inform root cause identification and corrective action planning
• Collaborate with the incident management team to ensure recommended corrective actions address business-side operational concerns
• Assist in validating that implemented solutions effectively resolve business operational issues
• Partner with the incident management team to ensure Operational Organization teams understand and implement process improvements identified through formal postmortem analysis
• Collaborate on plan to engage clients as needed
• Document operational processes, known issues, and workarounds specific to clearing and custody business operations
• Build knowledge base articles to support Operational Organization teams
• Maintain up-to-date process documentation and workflow diagrams for key Customer Organization operational areas
• Collaborate with training teams to ensure operational staff are equipped with current processes and best practices
• Create operational reference materials that can be leveraged during incident response
• Communicate proactively with Account Management, Relationship Management, and Client Services teams when operational issues impact client experience
• Coordinate with Operations, Compliance, and other Customer Organization teams during multi-faceted operational incidents
• Build strong relationships with Incident management, Technology, Product, and Compliance teams to enable effective collaboration during incidents
• Facilitate information flow between technical teams and business stakeholders, ensuring clear communication in both directions
• Prepare business-focused incident summaries and impact reports for Customer Organization leadership

Business Operations Liaison – Incident Management

Analyst

• Lead the onboarding process for fintech firms, educating and answering their questions, communicating timelines, identifying blockers and escalating with stakeholders when necessary, resulting in quick resolution and absence of ambiguity.
• Establish and maintain strong relationships with clients, sales, relationship management, service and the internal onboarding teams so that all stakeholders are aware where new clients are in their onboarding journey.
• Guide and support clients through the onboarding process utilizing knowledge of firms’ expectations for onboarding with new custodians creating trust and confidence with Apex.
• Liaise with key platform partners (Orion, Advyzon, Docupace, AdvisorArch, etc) on shared onboarding processes eliminating risk and delays for firms as they onboard.
• Coordinate with the Apex onboarding team, and platform partners’ teams, to ensure technical setup is flawless.
• Develop and maintain an "at-a-glance" dashboard to provide the Onboarding leadership teams with up-to-date information on the onboarding journey of every client.

Senior Client Delivery Analyst

Operations

• Assist in the preparation and review of investor documentation, including agreements, disclosures, and compliance-related materials
• Ensure Investor Communications requests are processed while adhering to processing deadlines
• Perform regular reconciliation to ensure compliance
• Work with and provide assistance to internal and external stakeholders, such as Apex internal teams, third party vendors, and customers
• Be responsible for ensuring that customer inquiries are completed in accordance with service level agreement guidelines
• Ensure that inquiries are responded to in a professional and timely manner and escalating issues to management
• Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements
• Review and complete supervisory oversight and provide updates to management regarding any issues with client documentation or regulatory compliance
• Ensure all investor communications adhere to regulatory and compliance standards
• Identify documentation/processing irregularities and outline corrective measures
• Identify opportunities for improving documentation processes and workflows

Operations Specialist, Investor Communications

• Assist in identifying, validating, and processing mandatory and voluntary corporate action events, ensuring accurate and timely completion across client accounts
• Distribute corporate action notifications to internal stakeholders and clients; respond to inquiries regarding upcoming or in-progress events
• Support daily reconciliation of corporate action positions and entitlements against custodian and depository records to ensure data accuracy
• Collect and submit client elections for voluntary corporate actions (e.g., rights offerings, tender offers, exchange offers) within required deadlines
• Assist with calculating and verifying cash and stock entitlements resulting from corporate action events
• Adhere to all relevant regulatory requirements and internal policies; support audit and regulatory inquiries as needed
• Identify and escalate discrepancies, missing elections, or processing errors in a timely manner to mitigate risk and financial exposure
• Prepare and maintain reports on corporate action events, processing status, and outstanding items for review by senior team members

Operations Specialist – Corporate Actions

• support day-to-day operations of custody and clearing services with a primary focus on Account transfers
• process account transfers through multiple methods including ACATS, Non-ACATS, and direct transfers
• aid in the remediation of transfer failures or errors
• ensure compliance and correct supervisory oversight of the transfer process
• engage in daily processes and project-oriented work to improve account transfers

Operations Specialist – Account Transfers

• Process and monitor IRA contributions, Roth conversions, rollovers, Required Minimum Distributions (RMDs), and retirement plan distributions across all retirement product types including Traditional, Roth, SEP, and SIMPLE IRAs, 401(k), 403(b), pension, annuity, and HSA/ESA accounts.
• Ensure all transactions comply with IRS contribution limits, distribution rules, and eligibility requirements.
• Support the preparation, review, and filing of year-end tax forms including Form 1099-R (Distributions) and Form 5498 (IRA Contributions).
• Identify and resolve reporting discrepancies, process corrections, and ensure timely and accurate IRS submission through FIRE/IRIS filing systems.
• Manage beneficiary designation updates, excess contribution corrections, recharacterizations, and account restriction monitoring.
• Ensure all retirement account activities adhere to IRC, ERISA, and FINRA/SEC requirements.
• Handle a wide range of customer inquiries and requests related to retirement accounts through email and phone, providing timely and accurate information on contribution limits, distribution options, tax implications, and beneficiary rules to enhance client satisfaction.
• Continuously acquire and update knowledge of IRS regulations (Internal Revenue Code), ERISA requirements, and FINRA/SEC guidelines as they apply to retirement account operations, ensuring strict compliance and operational integrity.
• Actively participate in initiatives to improve procedures by reducing risks and enhancing operational efficiencies. Provide recommendations and insights that may influence the strategic direction of retirement services operations.

Operations Specialist – Retirements

Revenue Operations

• develop regular reports for different departments to assess trends and business performance, identify opportunities for improvement, and support strategic decisions
• work closely with teams in Sales, Partnerships, Corporate Development, Strategy, Pricing, and Product Marketing to implement data-driven strategies
• utilize analytical techniques to address complex business problems, interpreting data, and providing actionable insights
• communicate findings and recommendations to senior management and cross-functional teams to shape company strategies and objectives
• ensure accuracy and consistency across all data and reports, implementing best practices in data management and usage
• proactively seek opportunities to enhance the analytical capabilities of the department, including incorporating new data sources and analytical tools

Revenue Strategy Analyst

• Execute day-to-day banking operations with an emphasis on accuracy and timeliness, including the processing of checks, wire transfers, and ACH transactions in accordance with Apex policy and within required processing windows
• Identify transaction exceptions and escalate to management as appropriate; partner with cross-functional teams (AML, Legal, Risk, Client Services) to resolve exceptions within required timeframes, documenting all exception notes per established procedures
• Follow Apex Banking SOPs and applicable regulatory requirements consistently across all transactions; seek guidance on non-standard situations and flag discrepancies or documentation gaps to senior team members
• Identify and propose refinements to current operational workflows to improve efficiency and reduce risk; participate in implementation of approved process improvements under senior guidance
• Perform self-review of own work prior to submission; assist with the daily completion of supervisory checklist items, ensuring all required tasks, approvals, and signoffs are documented accurately and on time
• Respond to routine and ad hoc requests from clients and internal teams (Client Services, Compliance, Risk etc.) in a timely and professional manner; assess urgency, gather required information, and coordinate with appropriate teams to ensure accurate resolution within agreed service level agreements (SLAs), escalating complex matters as appropriate

Operations Specialist – Banking

• Process domestic and international wire transfers, ACH transactions, check disbursements, and journal entries in accordance with Apex policy and within required processing windows.
• Review and validate Letters of Authorization s (LOAs) for journals and disbursements under the guidance of senior team members.
• Identify transaction exceptions and escalate to management as appropriate.
• Partner with the business (e.g., AML, Legal, and Risk teams) to resolve payment exceptions within required timeframes.
• Follow Apex Cash Management SOPs and disbursement policy consistently across all transactions.
• Perform self-review of own work prior to submission; participate in team quality review processes as directed.
• Assist with the daily completion of supervisory checklist items, ensuring all required tasks, approvals, and signoffs are documented accurately and on time.
• Respond to routine and ad hoc requests from clients and internal teams in a timely and professional manner.

Operations Specialist, Cash Management

• Assist in the preparation and review of investor documentation, including agreements, disclosures, and compliance-related materials
• Ensure Investor Communications requests are processed while adhering to processing deadlines
• Perform regular reconciliation to ensure compliance
• Work with and provide assistance to internal and external stakeholders
• Be responsible for ensuring that customer inquiries are completed in accordance with service level agreement guidelines
• Ensure that inquiries are responded to in a professional and timely manner and escalating issues to management
• Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements
• Review and complete supervisory oversight and provide updates to management regarding any issues with client documentation or regulatory compliance
• Ensure all investor communications adhere to regulatory and compliance standards
• Identify documentation/processing irregularities and outline corrective measures
• Identify opportunities for improving documentation processes and workflows

• Provide world-class customer service to firms
• Assisting partner firms via both electronic and telephone channels
• Managing partner firm and end investor escalations
• Create and maintain system documentation
• Assist team members with client escalations
• Support inquiries related to Operations Supervisory Daily/Monthly Checklists
• Ownership of several Supervisory Checklists
• Facilitate projects, supervised by manager

Operations Analyst

Data Engineer

• Define and execute the strategic roadmap for FOCUS’s enterprise data engineering platform, including data pipelines, ETL/ELT processes, data lakes, data warehouses, and integration frameworks
• Establish architectural standards for data ingestion, transformation, storage, and access that support analytics, reporting, and AI/ML use cases
• Partner with business and technology leaders to prioritize data platform investments and ensure alignment with enterprise strategy and regulatory requirements
• Provide executive-level reporting on platform health, data quality, and delivery outcomes
• Own the lifecycle management of FOCUS’s business application portfolio, including policy administration, agency management, billing, claims, and document management systems
• Oversee vendor relationships, licensing, contract renewals, and SLA performance for all business applications
• Lead application rationalization, modernization, and integration efforts to improve operational efficiency and reduce technical debt
• Partner with business stakeholders to evaluate new application capabilities and drive adoption of technology solutions that improve productivity and support FOCUS’s growth strategy
• Lead, grow, and develop a high-performing team of data engineers, integration developers, and business application specialists
• Drive talent strategy, succession planning, performance management, and professional development across the function
• Establish engineering standards, development practices, and operational KPIs for the team
• Directly manages Data Engineering team leads/managers and Business Applications managers, and may directly manage senior individual contributors (e.g., Principal Data Engineers, Senior Application Analysts)

Director, Client Delivery

IT Project Manager

Business Operations Liaison – Incident Management

Senior Client Delivery Analyst

Operations Specialist, Investor Communications

Operations Specialist – Corporate Actions

Operations Specialist – Account Transfers

Operations Specialist – Retirements

Revenue Strategy Analyst

Operations Specialist – Banking

Operations Specialist, Cash Management

Operations Specialist – Corporate Actions

Operations Specialist, Investor Communications

Operations Analyst

Director, Data Engineering – Business Applications