Brokerage Client Service Associate

 Published 3 months ago
    
 United States
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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

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