Brokerage Client Service Associate

Summary

Join Alpaca, a leading brokerage infrastructure technology company, and become a key member of our growing team. Assist clients and broker partners by acting as the first point of contact for service needs and issues. You will process operational requests, research and respond to client inquiries, and collaborate with internal teams to resolve issues. This role requires experience in the securities industry, strong communication skills, and attention to detail. We offer a competitive salary, stock options, and comprehensive benefits, including health insurance, a home-office setup stipend, and a monthly stipend.

Requirements

• Positive and Resilient demeanor to help achieve satisfaction in a fast-paced and dynamic 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 or ability to obtain within the first 6 months of employment start date
• Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
• Must have strong written and communication skills in English
• 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

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

Benefits

• Competitive Salary & Stock Options
• Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care. In Japan, you are offered local benefits. Internationally, this includes a stipend value to offset medical costs
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card
• Work with awesome hard working people, super smart and cool clients and innovative partners from around the world