Remote Brokerage Operations Associate II, Principal
at Alpaca

Summary

Join Alpaca, a fast-growing fintech company, as the New Accounts Principal and have a direct impact on brokerage account opening production and processes. As a remote team member, you will review and approve new accounts by following KYC and CIP procedures, apply fraud and risk prevention measures, and become a subject matter expert for escalated issues.

Requirements

• 3 + years of brokerage operations experience
• Series 24 registration
• Strong knowledge of KYC, CIP, and relevant FINRA, SEC, and other regulations
• Experience in customer KYC or CIP operations, including due diligence and identification documentation review
• Exceptional attention to detail and accuracy, thriving in a fast-paced environment
• Ability to work collaboratively in a team and independently
• Adaptability to changing business and regulatory landscapes
• Proactive approach to challenges and openness to new responsibilities
• Commitment to delivering excellent client service

Responsibilities

• Ensure compliance the Firm’s KYC and CIP requirements
• Review, process, and approve new accounts, account updates, and escalated issues related to KYC and CIP
• Verify customer identification documentation in accordance with Firm, industry, and global standards
• Conduct supervisory principal reviews of account approvals
• Collaborate with internal and external partners and clients regarding account status and updates
• Contribute to the development of efficient processes that enhance the client experience
• Create and update Firm procedures as necessary
• Complete Ad hoc duties and projects as assigned
• Work closely with product and engineering teams to improve the onboarding process

Preferred Qualifications

• Bachelor's degree or equivalent experience
• Experience with global markets, cultures, customs, and languages is a plus for our globally focused firm
• FINRA Options Principal (Series 4) or other relevant registrations are a plus
• Knowledge of AML practices and regulations
• Experience in data analysis and trend identification

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. 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