Brokerage Operations Associate II - New Accounts Principal
New
A
AlpacaFinancial Services
Remote - AmericasFull-TimeMiddle
Salary not disclosed
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Job Details
- Experience
- 3+ years of brokerage or financial services operations experience
- Required Skills
- Data AnalysisMicrosoft ExcelRESTful APIsGoogle Sheets
Requirements
- Active FINRA Series 7 registration
- 3+ years of brokerage or financial services operations experience in one or more of: new accounts, account maintenance, CIP/AML, escheatment, statement review, or related account operations
- Strong Excel or Google Sheets skills
- Understanding of databases, tables, fields, and operational data investigation
- Strong follow-through and ownership of assigned queues and projects
- Strong written and verbal communication skills
- Attention to detail, accuracy, and reliability
- Exposure to AML frameworks, sanctions screening, or identity verification workflows
- Technical fluency (APIs, data terminology, basic system architecture)
- Bachelor’s degree or equivalent experience
Responsibilities
- Process and support day-to-day accounts workflow throughout the account lifecycle; onboarding, maintenance, updates, or closures
- Fully own escheatment and abandoned property operations
- Fully own monthly statement and trade confirmation review
- Execute legacy cleanup and data hygiene projects to meet compliance with CIP requirements, including partner and user communications
- Work through spreadsheets, exports, and operational lists to identify issues, find patterns, and drive items to resolution
- Query databases at an operations level to identify and scope cleanup work, batch remediation, and measure progress
- Work alongside a team of New Accounts analysts on day-to-day processing, and support the New Accounts Principal Manager on larger cleanup initiatives
- Identify repeatable processes from one-off and legacy cleanup project work, then drive those into ongoing workflows
- Collaborate with Product, Engineering, Data, Compliance, and partner-facing teams to translate operational problems into actionable next steps
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