Agency Trader Peak6

• 3.

2 Dallas, TX Job Details Full-time 13 hours ago Benefits Health savings account Health insurance Dental insurance Tuition reimbursement Paid time off Parental leave Employee assistance program Vision insurance 401(k) matching Qualifications Algorithmic trading Order management system Compliance reporting Series 7 Securities law compliance support experience Bachelor's degree Securities Industry Essentials Securities law FINRA License Regulatory compliance analysis Experience practicing in the securities industry Legal compliance Series 63 Full Job Description Apex Fintech Solutions Dallas, Texas, United States of America

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 Fintech Solutions is an agency-focused broker-dealer executing trades on behalf of introducing firms and their clients across equities, options, fixed income, and currencies. We are seeking an experienced Agency Trader to join our Dallas trading desk, where precision, regulatory rigor, and strong client relationships drive everything we do. This role is well-suited to a trader who thrives in a high-volume, deadline-driven environment and wants to work closely with both internal teams and external introducing firms to deliver best-in-class execution.

Duties/Responsibilities Trade Execution:

Execute client and firm orders across equities, options, fixed income, and currencies, ensuring optimal execution quality and full compliance with applicable regulatory requirements.

Trade Issue Resolution:

Identify, investigate, and resolve trade errors and discrepancies quickly and accurately, escalating as needed.

Risk Management:

Monitor market exposure in real time; apply risk mitigation strategies to limit potential losses.

Reporting and Compliance:

Maintain accurate trade records and ensure timely, accurate regulatory reporting (including CAT and TRACE), in line with firm policy and industry regulation.

• This list reflects primary duties and is not exhaustive. Responsibilities may evolve based on business needs.

Required Skills/Abilities Experience:

3-5+ years of trading experience, with direct exposure to at least two of the following: equities, options, fixed income, currencies. Experience across all four is a plus.

Market Structure Knowledge:

Working knowledge of market structure, trading workflows, and regulatory frameworks across relevant asset classes.

Regulatory & Compliance Knowledge:

Familiarity with trade reporting requirements (CAT, TRACE, and MSRB reporting if fixed income includes municipals) and general securities compliance procedures.

Trade Lifecycle Expertise:

Practical experience with trading and securities operations, including trade lifecycle management and industry best practices.

Analytical Skills:

Strong problem-solving ability, with a track record of diagnosing and resolving trading issues under time pressure.

Technology:

Hands-on experience with order/execution management systems (OMS/EMS) and familiarity with algorithmic trading strategies and tools.

Communication:

Strong verbal and written communication skills; able to explain complex trading matters clearly to both technical and non-technical stakeholders.

Decision-Making:

Sound judgment under pressure, with the ability to manage multiple priorities in a fast-paced desk environment. Education & Licensing Bachelor's degree in Finance, Economics, or a related field required. Active SIE, Series 7, and Series 63 required. Series 57 required; candidates without it must obtain it within 60 days of hire. Work Environment & Schedule Hybrid, office-based role in Dallas, TX. Hours generally align with U.S. market open/close; some early start or extended hours may be required around market events. #execution services #asscociate #mid-senior #full-time #LI-SD1 #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. 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.