Registered Brokerage Client Service Associate - Eastern Timezone

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

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

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

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