Operations Specialist Apex Clearing
While working with the firm I specialist in Possession or Control. I ensure the company remains in compliance with the SEC 15c3-3c1 customer protection rule. I monitor and manage firm deficits through rigorous supervisory procedures; generate, evaluate, and escalate deficit reports as needed within the firm; and conduct daily, weekly, and quarterly control and audit procedures while meticulously maintaining all associated documentation. I am able to accomplish this by facilitating seamless communication and collaboration among functional units within the Operations department to uphold accurate books and records, promptly addressing any bookkeeping errors.