Client Services Supervisor

Summary

Join Alpaca, a leading brokerage infrastructure technology company, as a Client Service Associate and play a crucial role in providing exceptional support to clients and broker partners during overnight ET hours. You will troubleshoot operational and technical issues, ensure compliance with regulations, and contribute to the enhancement of client service procedures. This role demands a deep understanding of brokerage operations, including new account onboarding, cashiering, trade support, and margin. You will actively monitor risk and trade surveillance activities, supporting global settlements and post-trade processing within a 24/5 trading environment. The ideal candidate possesses 3+ years of experience in a brokerage client service role, active FINRA Series 7 and 24 licenses, and a strong understanding of regulatory requirements. Alpaca offers a competitive salary, stock options, and comprehensive benefits.

Requirements

• Passionate about Alpaca’s mission and the innovative solutions we are building
• 3+ years of experience in a brokerage client service role within the securities industry
• Active FINRA Series 7 and 24 licenses
• Deep understanding of brokerage operations, including new account onboarding, cashiering, trade support, margin, account maintenance, reconciliations, and client servicing
• Solid knowledge of FINRA, SEC, and all other regulatory requirements
• Exceptional attention to detail, with a strong focus on accuracy, reliability, and performance in a fast-paced environment
• Flexible and adaptable, with the ability to navigate a dynamic business and regulatory landscape
• Strong analytical, leadership, and communication skills
• Capable of exercising sound independent judgment and decision-making within established guidelines

Responsibilities

• Serve as a primary point of contact for clients and broker partners during ET overnight hours, troubleshooting operational and technical issues, and proactively identifying, escalating, and assisting in the resolution of inquiries and incidents
• Deliver exceptional service to clients and broker partners in alignment with internal policies and brokerage regulations, while overseeing the resolution of operational and trading inquiries
• Assist in the development, documentation, and ongoing enhancement of client service procedures and supervisory systems, including Written Supervisory Procedures (WSPs)
• Support critical overnight brokerage functions by submitting and processing operational requests as directed by the brokerage team or client/broker partners, ensuring seamless global coverage
• Monitor overnight risk and trade surveillance activities to ensure compliance with internal policies, escalating any irregularities or suspicious activity as needed
• Support global settlements by ensuring timely and accurate post trade processing within a 24/5 trading environment

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