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Your Role:
- As a New Accounts Principal, you will work across accounts operations at the principal level, including entity accounts, correspondent partners, and institutional relationships.
- You will own defined operational programs and support supervisory coverage, applying Series 7 and 24 registrations.
- You will collaborate with cross-functional teams to resolve complex account issues.
Things You Get To Do:
- Review and resolve complex account work, coordinate with the Principal Manager on escalations.
- Process daily workflow, including onboarding, maintenance, and lifecycle changes, with focus on entity accounts.
- Execute monthly statement reviews, lead cleanup projects, and drive process improvements.
Who You Are (Must-Haves):
- Active FINRA Series 7 and 24 registrations with 5+ years brokerage operations experience.
- Strong knowledge of KYC, CIP, AML, and entity account operations.
- Proficient in Excel/Sheets and data analysis, with technical fluency for fintech environments.
Alpaca
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and 24/5 trading. Our global team of over 400 members is diverse and backed by $400 million in funding, fostering a culture of curiosity, empathy, and accountability.