Brokerage Client Service Associate

About the role

This role focuses on providing direct support to Alpaca's clients and broker partners. The work involves addressing a variety of brokerage-related questions, covering areas like account management, trading, and fund transfers. A key part of the job is processing operational requests, such as order entry and account maintenance, ensuring accuracy and reliability in all transactions.

The Client Service Associate will act as the initial point of contact for service needs and issues, requiring collaboration with multiple internal teams. This includes interacting with trading, operations, sales, and engineering departments to resolve client concerns. The position also involves assisting clients with basic technical support, including questions about API usage and platform navigation.

Success in this position means effectively managing client inquiries and operational tasks while maintaining a high degree of detail and accuracy. The role requires someone who can thrive in a dynamic environment, take ownership of new responsibilities, and contribute to ad hoc projects. An understanding of securities industry regulations and client onboarding processes is essential.

The salary for this position ranges from $45,000 to $75,000 USD annually.

Skills that matter here

• FINRA Series 7 license: This license is required for the role, either already held or obtainable within the first six months of employment.
• Securities Industry: Candidates should have one to two years of experience working within this sector.
• Client Service: The primary responsibility of this role is to serve as the first point of contact for client needs and issues.
• API Usage: The role involves assisting clients with basic technical questions related to platform API usage.
• Attention to Detail: Accuracy and reliability are critical for processing operational requests and managing client inquiries.
• Communication Skills: Strong written and verbal communication abilities are necessary for interacting with clients and internal teams.

Who this role suits

• A person who has prior experience in the securities industry and is familiar with its regulations.
• Someone who is detail-oriented and can ensure accuracy in processing financial and operational requests.
• An individual who enjoys problem-solving and collaborating with various internal teams to resolve client issues.
• A candidate who is comfortable taking on new responsibilities and working in a remote team setting.

From the employer

• Assist clients and broker partners by being the first point of contact on service needs and issues.
• Handle a diverse range of brokerage questions spanning multiple business functions, including account services, trading, transfers, funding, and operations.
• Submit and process certain operational requests as instructed by the brokerage team and/or client/broker partners. Examples include order entry, account maintenance, fund distributions, cash and stock journals, and other operational processing tasks.
• 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.
• Assist customers with basic technical requests, including API usage questions, platform navigation, workflow guidance, and troubleshooting support.
• Support ad hoc projects and operational initiatives as assigned by management.

• 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 6 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.
• Basic understanding of KYC and client onboarding processes.
• Ability to collaborate and work effectively in a remote team environment.
• Enjoys challenges and taking ownership of new responsibilities.

• 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.