Brokerage Operations Manager
New
A
Alpaca Fintech / Brokerage
Remote - EMEAFull-TimeManager
Salary not disclosed
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Job Details
- Experience
- 3+ years
- Required Skills
- Risk Management
Requirements
- Series 7 and 63 required, series 4 preferred or ability to obtain within three months of employment
- 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
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.
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