Brokerage Operations Associate - New Accounts Principal

October 13

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Alpaca

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Finance • Trading • Fintech • Algorithm Trading • Investing

201 - 500

Description

• As the New Accounts Principal, you will have a direct impact on the Firm’s brokerage account opening production and processes. • The New Accounts Principal will serve in a production, supervisory, and service role. • The service focused, New Accounts Principal reviews and approves new accounts by following Alpaca KYC and CIP procedures. • The New Accounts Principal will apply fraud and risk prevention measures to new accounts. • The New Accounts Principal will become a subject matter expert for escalated issues from account analysts, internal clients, and partners. • The Operations Accounts Team is 100% distributed and remote.

Requirements

• 3 + years of brokerage operations experience • Series 24 registration • Strong knowledge of KYC, CIP, and relevant FINRA, SEC, and other regulations • Experience in customer KYC or CIP operations, including due diligence and identification documentation review • Exceptional attention to detail and accuracy, thriving in a fast-paced environment • Ability to work collaboratively in a team and independently • Adaptability to changing business and regulatory landscapes • Proactive approach to challenges and openness to new responsibilities • Commitment to delivering excellent client service

Benefits

• 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. 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