Series 7 Licensed Brokerage Client Services Associate

Alpaca; Seattle (WA); On-site; USD 60,000 - 90,000; Full time

Benefits offered by this job

Stock Options

Health Benefits

New Hire Home-Office Setup

Monthly Stipend

Job summary

Alpaca, a US-headquartered fintech, is hiring for a role supporting broker partners and clients within a fast-paced, remote team. The candidate will handle operations, ACATs, and on-boarding tasks, working across multiple internal groups to resolve issues and ensure accurate paperwork.

Requirements include 1-2 years in securities, FINRA Series 7, and strong communication. The role offers stock options and a competitive benefits package in a distributed work environment.

Qualifications

• 1-2 years of experience in the securities industry.
• FINRA Series 7 license required.
• Strong written and verbal communication skills.
• Experience with FINRA, Federal, and SEC regulations.
• Ability to collaborate effectively in a remote team environment.
• Adaptable to changing regulatory environments and ownership of new responsibilities.

Responsibilities

• Serve as first point of contact for clients and broker partners on service needs and issues.
• Submit and process operational requests (funds distributions, ACATs, account updates) per brokerage guidance.
• Research and resolve client issues related to forms and transfers.
• Coordinate with trading desk, operations, sales, solutions, customer success, engineering, and product teams.
• Ensure new business paperwork is accurately submitted.
• Maintain a positive, resilient approach in a fast-paced environment.
• Make decisions within general guidelines, independently when needed.
• Understand KYC and client onboarding processes.

Skills

Customer service

Attention to detail

Written communication

Remote collaboration

Regulatory compliance

Job description

Alpaca, a US-headquartered fintech, is hiring for a role supporting broker partners and clients within a fast-paced, remote team. The candidate will handle operations, ACATs, and on-boarding tasks, working across multiple internal groups to resolve issues and ensure accurate paperwork.

Requirements include 1-2 years in securities, FINRA Series 7, and strong communication. The role offers stock options and a competitive benefits package in a distributed work environment.