Registered Brokerage Client Service Associate - Pacific Timezone

Alpaca; Scottsdale (AZ); On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Health Benefits

New Hire Home-Office Setup: USD 500

Monthly Stipend: USD 150/month

Job summary

Alpaca is a US-headquartered fintech firm providing broker-dealer infrastructure and APIs for stocks, ETFs, and more. We are seeking a client operations specialist to support broker partners and clients, handling operational requests and inquiries in a fast-paced, remote-friendly environment.

Ideal candidates have 1–2 years in securities, hold or pursue a FINRA Series 7 license, and demonstrate sharp attention to detail and strong written communication skills.

Qualifications

• One to two years of experience in the securities industry.
• FINRA Series 7 license is required or pursued.

Responsibilities

• Serve as the first point of contact for clients and broker partners on service needs and issues.
• Process operational requests such as funds distributions, ACATs, account updates, and journals.
• Research and respond to client inquiries related to forms, transfers, and other operational items.
• Coordinate with trading, operations, sales, and engineering teams to resolve client issues.
• Ensure new business paperwork is accurately submitted.

Skills

FINRA Series 7 license

Strong written communication

Attention to detail

Job description

Who We Are:

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.

Our Team Members:

We're a dynamic team of 400+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values-Stay Curious, Have Empathy, and Be Accountable and are ready to make a significant impact, we encourage you to apply.

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.

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
• Health Benefits
• 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.

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