Registered Brokerage Client Service Associate (Support)

Things You Get To Do:

• 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.

• 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

Who You Are (Must-Haves):

• 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

• 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.

• 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

• 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

Startup experience