Securities Trading and Reporting Specialist

Your Role: This is an opportunity to join a Fintech startup at an exciting time! As the Securities Trading and Reporting Specialist, you will help build out trade reporting, assist the Best-Execution Committee, monitor order flow and more. Things You Get To Do: Assist in the Firm’s Best-Execution Program by reviewing post-trade exception reports.   Review Trade Surveillance reports and take appropriate action to resolve alerts  Monitor order flow for irregularities  Timely resolution of client trade escalations Ensure trade reporting is completed in an accurate and timely manner Monitor trade reporting error logs and ensure timely resolution of discrepancies Trade Reporting Ensure the Firm follows regulatory requirements of trade reporting by reviewing the Firm’s submissions to: TRF ORF CAT  CAIS Identify Trade Reporting inefficiencies and help develop proposed solutions Manage the Firm’s LTID list  Create/update policies and procedures as needed Conduct  bi-weekly Trade Reporting Meetings  Assist in the preparation of the monthly Best Execution Reports  Help maintain Best Execution Index and analyze equity and option orders   Prepare quarterly 606 Reporting Reconciliation of firm error and inventory accounts Maintain firm GTC order book Ad Hoc duties and responsibilities as assigned  Who You Are (Must-Haves): Excited about Alpaca’s mission and what we’re building Series 7 or 57 required 3+ years of trading or brokerage operations experience Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment 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 Who You Might Be (Nice-To-Haves): Bachelor's degree or equivalent experience  How We Take Care of You: Competitive Salary & Stock Options Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care.  Internationally, this includes a stipend value to offset medical costs.    New Hire Home-Office Setup: One-time USD $500 Monthly Stipend: USD $150 per month via a Brex Card Work with awesome hard working people, super smart and cool clients and innovative partners from around the world Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce. Recruitment Privacy Policy