Alpaca

Brokerage Operations, Margin and Options Associate

Alpaca

full-time

Posted on:

Location Type: Remote

Location: United States

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About the role

  • Monitor customer activity in near-real-time to manage trading exposure in margin and options.
  • Review daily reporting and take appropriate action for exceptions.
  • Follow Federal Reserve Regulation T and FINRA Rule 4210 when processing margin calls.
  • Perform option expiration processes and risk mitigation.
  • Customer Service focus.
  • Drive process improvements and efficiencies.
  • Review fraud alerts on day to day basis.
  • Ad hoc duties and projects as assigned.

Requirements

  • Series 7 and 63 required, series 4 preferred or ability to obtain within three months of employment
  • 3+ years of brokerage operations experience
  • Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
  • Experience with FINRA, OCC regulations and systems
  • Ability to work effectively and supportively within a team environment, and the ability to work independently
  • Must possess the ability to adapt to a changing business and regulatory environment
  • Enjoys challenges and taking ownership of new responsibilities
Benefits
  • Competitive Salary & Stock Options
  • Health Benefits
  • New Hire Home-Office Setup: One-time USD $500
  • Monthly Stipend: USD $150 per month via a Brex Card
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
brokerage operationsrisk mitigationoption expiration processesexception reportingcustomer activity monitoring
Soft Skills
attention to detailaccuracyreliabilityteamworkindependenceadaptabilityownershipproblem-solving
Certifications
Series 7Series 63Series 4 (preferred)