Brokerage Operation Associate II

Summary

Join Alpaca's fast-growing team as a detail-oriented and proactive New Accounts Principal. This role is crucial to brokerage operations, overseeing account openings and shaping processes. You will review and approve new brokerage accounts, ensuring compliance with KYC and CIP procedures, and apply fraud and risk controls. Collaborate with analysts, internal teams, and external partners to resolve escalated issues. This position requires navigating evolving processes, identifying gaps, and contributing to scalable systems. The role is 100% remote and reports to the Director of Operations. If you value precision, follow-through, and thrive in a dynamic environment, this is the ideal opportunity.

Requirements

• 3+ years of experience in brokerage operations, client onboarding, or compliance
• Series 7, 24, and 4 registration
• Deep understanding of KYC, CIP, and relevant FINRA/SEC regulations
• Experience reviewing customer identity documentation and conducting diligence reviews
• Exceptional organizational skills and attention to detail
• Comfortable navigating multiple communication channels (Slack, email, ticketing tools) while maintaining clarity and accountability
• Natural project and task owner, known for follow-up, follow-through, and documentation
• Comfortable in an environment where not everything is built yet, and willing to work in it while building it
• Thrives in a fast-paced, ever-changing environment with high ambiguity and constant learning
• High capacity for managing wide-ranging responsibilities and shifting priorities without losing focus on detail or follow-through

Responsibilities

• Ensure compliance with the Firm’s KYC and CIP requirements for U.S. and international customers
• Review, process, and approve new accounts, account updates, options applications, and escalated KYC/CIP issues
• Verify customer identification documentation in accordance with internal policy and regulatory standards
• Perform supervisory principal reviews for new account approvals
• Collaborate cross-functionally with support, product, engineering, risk and compliance, customer success, and partners
• Contribute to the creation and maintenance of procedures, playbooks, FAQs, and data-driven documentation
• Identify inefficiencies and manual workflows, clearly communicate solution requirements to product or engineering, and drive resolution through implementation and follow-up
• Bring metrics and insight to process effectiveness and bottlenecks
• Execute on ad hoc initiatives, projects, and remediations
• Act as a subject matter expert in onboarding flows and customer identity requirements

Preferred Qualifications

• Bachelor's degree or equivalent experience
• Experience supporting a global customer base
• Exposure to AML frameworks or sanctions screening
• Analytical mindset with the ability to identify trends in data and process
• Prior experience onboarding and reviewing business entities (KYB, EDD, ownership structures)
• Ability to retain and organize operational knowledge that may not be well documented or easily retrievable
• Possess foundational technical fluency (e.g., APIs, data terminology, basic architecture) to engage product, engineering, and data partners effectively and translate operational problems into actionable solutions

Benefits

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card