Brokerage Client Service Associate - PT & Stock Options

Social Leverage LLC; United States; Hybrid; USD 55,000 - 75,000; Full time

Benefits offered by this job

One-time USD $500 home-office setup

Monthly USD $150 Brex Card stipend

Competitive salary and stock options

Job summary

Alpaca is a fintech firm specializing in the broker-dealer space. This role offers an opportunity to be the first point of contact for clients and broker partners, handling service requests, transfers, and onboarding tasks.

You will collaborate with multiple internal teams to resolve issues in a fast-paced environment while ensuring accurate paperwork and regulatory compliance. The position supports a Pacific Timezone workflow and a strong emphasis on ownership and problem solving.

Qualifications

• 1–2 years of experience in the securities industry.
• FINRA Series 7 license.
• Strong written and communication skills.
• Experience with FINRA, Federal, and SEC regulations.

Responsibilities

• Assist clients and broker partners as first contact for service needs and issues.
• Submit and process operational requests such as ACATs, funds distributions, journals, and account updates.
• Research and respond to client form submissions, transfers, and other operational items.
• Interact with trading desk, brokerage operations, sales, solutions, customer success, engineering and product teams to resolve issues.
• Ensure new business paperwork is accurately submitted.
• Maintain a positive and resilient demeanor in a fast-paced environment.
• Make decisions within general guidelines when needed.
• Understand KYC and client onboarding processes.

Skills

Communication skills

Attention to detail

Remote collaboration

Adaptability

Ownership mindset

Job description

Careers / Alpaca / Registered Brokerage Client Service Associate - Pacific Timezone

Registered Brokerage Client Service Associate - Pacific Timezone

Posted 1 month ago

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. Candidates must be comfortable working 11:30am - 8:00pm ET.

Things You Get To Do:

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.

Positive and Resilient demeanor to help achieve satisfaction in a fast-paced environment

Ability to independently make decisions within general guidelines

Basic understanding of KYC and client onboarding processes

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

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

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

How We Take Care of You:

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

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

Adaptability Collaboration Customer Service Problem Solving