Brokerage Operations Associate - Cashiering & ACATS

Your Role: This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on money movements and ACAT transfers. The team is 100% distributed and remote. The role will be reporting directly to one of the Firm’s Director of Operations. Things You Get To Do: Cashiering  Assist with the funding flows in and out of our Broker Dealer, Alpaca Securities, via ACH deposits and withdrawals, or wire transfers via our banking partners.  Process internal money movements via our in-house journal system. Process as needed, incoming and outgoing money movement using either our ACH, or domestic and international wire function. Make sure funds incoming and outgoing are posted timely and accurately. Resolve inquiries and assist our Client Support team with cashiering type of questions or requests. Participating in a variety of departmental projects—both operational and in support of our company culture—and taking on additional responsibilities, as needed by your leadership team. Responsible for reviewing and processing daily reports dealing with cashiering functions and tasks. Report any red flags to our internal AML department involving movement requests for deposits or withdrawals. Research and respond to escalations tickets as assigned by our client support team. Coordinate with other Operational departments to ensure thorough processing of daily work. Assist with documenting procedures and updates processes as needed. ACATS  Work with and offer assistance to internal and external customers with daily incoming and outgoing Account Transfer Requests. Handle communications with Contra firms, and Transfer Agents Process Mass Account Transfers/Conversions (internal and external) Serve as the Firm’s Subject Matter Expert on Transfers do’s and don’ts  Research and respond to inquiry tickets regarding Account Transfers  Ensures ACAT requests are processed within the firm's timelines for processing and as outlined by industry guidelines. Must be familiar with ACAT systems (NSCC), regulations and industry practices that govern both ACATs and non-ACAT transfers.  Able to identify documentation/processing irregularities and outline corrective measures. Assist with documenting procedures and updates processes as needed. Who You Are (Must-Haves): Excellent written and verbal communication skills. Providing insights for continuously improving our client experience and providing efficiency. Ability to work independently in a fast-paced environment with multiple priorities Possess general knowledge of U.S. securities back office operations of a broker-dealer and/or carrying firm. Must be able to follow company tenets of: Stay Curious Have Empathy Be Accountable Be able to work in a remote environment Have strong customer service skills Have basic knowledge of SQL, metabase, or other database coding language  Easily adapt between Microsoft and Google document and spreadsheet solutions Be flexible to assist other functional areas when necessary Support department initiatives and company vision Must be able to change and adapt to the ever-changing regulatory landscape of the financial industry. Possess a Series SIE and 99 or higher securities license or achieve a passing result on the 99 within the first 90 days of employment. Minimum of 2+ years of experience in the brokerage industry specifically in the cashiering and account transfer departments Who You Might Be ( Nice-to-Haves): Experience processing ACATs on DTCC’s portal  Series 7 Knowledge of Treasury and/or finance and banking procedures.   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.