Registered Brokerage Client Services Supervisor

Alpaca; United States; Remote; USD 70,000 - 90,000; Full time

Job summary

A leading brokerage technology company is seeking a dedicated client service professional to support operations during overnight hours. The ideal candidate will have extensive experience in brokerage client service, strong analytical skills, and a passion for delivering exceptional service. Join a diverse team committed to opening financial services to everyone and enjoy competitive benefits including a salary, stock options, and a supportive work environment.

Benefits

Health Benefits

Stock Options

Home-Office Setup Stipend

Monthly Stipend

Qualifications

• 3+ years of experience in a brokerage client service role.
• Deep understanding of brokerage operations and regulatory requirements.

Responsibilities

• Serve as primary contact for clients during ET overnight hours.
• Monitor overnight risk and trade surveillance activities.
• Support global settlements and ensure timely post trade processing.

Skills

Attention to Detail

Analytical Skills

Leadership

Communication

Education

FINRA Series 7 License

FINRA Series 24 License

Job description

Who We Are:

Alpaca is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more, and has raised over $170 million in funding. Amongst our subsidiaries, Alpaca is a licensed financial services company in multiple countries, and we serve hundreds of financial institutions globally such as broker-dealers, investment advisors, hedge funds, and crypto exchanges.

Alpaca's globally distributed team members bring in diverse experiences such as engineers, traders, and brokerage professionals to achieve our Mission of opening financial services to everyone on the planet. We are also deeply committed to open-source contributions and fostering a vibrant community. We will continue to enhance and improve our award-winning developer-friendly API and the infrastructure behind it.

Our Team Members:

We're a team of 150+ globally distributed members who love working from our favorite places worldwide. Our team spans the USA, Canada, Japan, Hungary, Nigeria, Brazil, the United Kingdom, and more!

We're looking for candidates eager to join Alpaca's growing organization, who are excited about our Mission of "Open financial services to everyone on the planet and share our Values of "Stay Curious," "Have Empathy," and "Be Accountable."

Things You Get To Do:

• 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.
  
  

Who You Are (Must-Haves):

• 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
  
  

How We Take Care of You:

• 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
  
  

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

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