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Brokerage Operations Associate I - ACATS

10 hours, 44 minutes ago
Remote
Full-time
Junior
Operations Specialist
Operations
Metabase SQL
Apply Now
Alpaca

Alpaca

Alpaca is a developer-first API for stock and crypto trading, offering easy-to-use APIs for building apps and trading algorithms.

Capital Markets
51-250
Founded 2015
$87M raised
View All Jobs 42

Description

  • Process daily incoming and outgoing ACATS transfers within industry timelines and validate client, contra account, and asset information.
  • Process DTC/FOP transfers, ACATS Free Deliveries, Fail Reversals, and other nonstandard transfer types.
  • Identify documentation and processing irregularities, apply correct reject paths, and maintain controls to prevent errors.
  • Communicate with contra firms, transfer agents, and partner brokers on rejections, accelerations, reclaims, and documentation.
  • Run mass account transfers and conversions for internal and external movements.
  • Partner with engineering to automate daily self-clearing workflows.
  • Drive operational improvement through root cause analysis, trend analysis, and updates to the control framework.
  • Serve as the firm’s subject matter expert on transfers and a referral point for policy questions.
  • Prepare summary documentation for special projects and support cross-functional initiatives as needed.

Requirements

  • 2+ years of ACATS experience with hands-on industry portal usage and knowledge of ACATS cycle timing and status progression.
  • Working knowledge of NSCC/DTCC rules, FINRA Rule 11870, and standard versus nonstandard transfer flows.
  • Knowledge of U.S. broker-dealer back-office operations, including DTC settlements, FOP transfers, Fund/SERV, and contra account formats.
  • Ability to identify irregularities, draw logical conclusions, and define corrective actions.
  • Excellent written and verbal communication skills with strong attention to detail.
  • Ability to work independently and collaboratively in a remote, fast-paced environment with hard daily cutoffs.
  • Basic knowledge of SQL, Metabase, or similar query tools, and comfort using internal tools, industry portals, ticketing systems, and Google/Microsoft document tools.
  • Ability to adapt to an evolving regulatory landscape and support a self-clearing operational build-out.
  • SIE and Series 99 (or higher securities license), or ability to pass Series 99 within the first 180 days.
  • Associate’s degree in a business-related field and 5+ years of experience in ACATS, treasury/cashiering operations, banking, or financial services (preferred).
  • Series 7 (preferred).
  • Experience processing ACATS on DTCC’s portal as a deliverer or supporting a transition to self-clearing (preferred).
  • Exposure to ACATS-Fund/SERV, options/annuity/UIT transfers, non-ACATS transfer agent workflows, or API-driven partner brokers (preferred).

Benefits

  • Competitive salary with stock options.
  • Health benefits.
  • One-time $500 new hire home-office setup stipend.
  • $150 monthly stipend via Brex card.

Interested in this position?

Apply directly on the company website

Apply Now

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