Registered Brokerage Client Service Associate - Pacific Timezone

Alpaca

1d•Remote

About The Position

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.

Requirements

Excited about Alpaca’s mission and what we’re building
One to two years of experience in the securities industry.
FINRA Series 7 license
Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
Must have strong written and communication skills
Experience with FINRA, Federal, and SEC regulations
Ability to collaborate and work effectively in a remote team environment
Must possess the ability to adapt to a changing business and regulatory environment
Enjoys challenges and taking ownership of new responsibilities

Nice To Haves

Positive and Resilient demeanor to help achieve satisfaction in a fast-paced environment
Ability to independently make decisions within general guidelines
Basic understanding of KYC and client onboarding processes

Responsibilities

Assist clients and broker partners by being the first point of contact on service needs and issues
Submit and process certain operational requests as instructed by the brokerage team and/or client/broker partners. Examples include funds distributions, cash and stock journals, account updates, ACATs initiation, and other operational tasks.
Researching and responding to clients’ issues relating to form submissions, transfers, and various other operational items.
Interact with several internal groups to resolve client issues. This can include the trading desk, brokerage operations, sales team, solutions team, customer success team, engineering, and product teams.
Ensure new business paperwork is accurately and successfully submitted.