Brokerage Client Service Associate

Your Role:

This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space, with a B2B clearing platform supporting a wide network of partner brokers and API-driven workflows. You will focus on ACATS and non-ACATS transfers, working as a key member of the Transfers team that handles incoming and outgoing account movements across our partner ecosystem.

Things You Get To Do:

• Assist clients and broker partners by being the first point of contact on service needs and issues 
• Handle a diverse range of brokerage questions spanning multiple business functions, including account services, trading, transfers, funding, and operations.
• Submit and process certain operational requests as instructed by the brokerage team and/or client/broker partners. Examples include order entry, account maintenance, fund distributions, cash and stock journals, and other operational processing tasks.
• 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.  
• Assist customers with basic technical requests, including API usage questions, platform navigation, workflow guidance, and troubleshooting support.
• Support ad hoc projects and operational initiatives as assigned by management

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 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
• Experience with FINRA, Federal, and SEC regulations
• Basic understanding of KYC and client onboarding processes
• Ability to collaborate and work effectively in a remote team environment
• Enjoys challenges and taking ownership of new responsibilities