Your Role:

This is an opportunity to join a Fintech startup at an exciting time! As the Registered Brokerage Client Support Associate, you’ll be a part of our customer support team and will be the first point of contact on client requests.  

The team is 100% distributed and remote.  This role will be reporting directly to the Manager of Client Services.

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 or ability to obtain within the first 3 months of employment start date
• 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