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Registered Brokerage Client Services Supervisor - Remote

Posted 5 weeks ago
Finance / Legal
Full Time
APAC

Overview

The Registered Brokerage Client Services Supervisor at Alpaca will serve as a primary point of contact for clients and broker partners during overnight hours, ensuring exceptional service and compliance with brokerage regulations while supporting operational functions.

In Short

  • Primary contact for clients and broker partners during overnight hours.
  • Troubleshoot operational and technical issues.
  • Deliver exceptional service in alignment with internal policies.
  • Assist in developing and enhancing client service procedures.
  • Monitor overnight risk and trade surveillance activities.
  • Support global settlements and post trade processing.

Requirements

  • 3+ years in a brokerage client service role.
  • Active FINRA Series 7 and 24 licenses.
  • Deep understanding of brokerage operations.
  • Solid knowledge of FINRA and SEC regulations.
  • Exceptional attention to detail.
  • Strong analytical, leadership, and communication skills.

Benefits

  • Competitive Salary & Stock Options.
  • Health benefits start on day 1.
  • New Hire Home-Office Setup: One-time USD $500.
  • Monthly Stipend: USD $150 per month.
  • Work with a diverse and innovative team.
Alpaca logo

Alpaca

Alpaca is a rapidly growing fintech company that has successfully raised over $120 million in funding. As an API-first platform, Alpaca specializes in stock and cryptocurrency trading, empowering developers and businesses worldwide to create trading algorithms, applications, and brokerage services. With a globally distributed team of over 150 members, Alpaca fosters a remote work culture and is committed to making a positive impact in financial services and technology. The company values open source contributions and community building, and is backed by prominent investors including Y Combinator and Spark Capital.

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