Note: The job is a remote job and is open to candidates in USA. Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for various financial services. The Brokerage Operations Manager will partner with the Director of Brokerage Operations to monitor customer margin and option risk, ensuring compliance with regulations and improving operational efficiencies.
Responsibilities
- 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
Skills
- Series 7 and 63 required
- 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
- Series 4 preferred or ability to obtain within three months of employment
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
Company Overview
Company H1B Sponsorship