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Settlements Associate

3 hours, 23 minutes ago
Anywhere
Full-time
Mid Level
Operations Specialist
Operations
Metabase SQL Swift
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 33

Description

  • Own the end-to-end global equity settlement process across multiple international markets.
  • Ensure transactions are accurately recorded across internal and external systems to support settlement.
  • Monitor daily settlement activity and identify transactions at risk of failing.
  • Investigate and resolve settlement exceptions, trade discrepancies, buy-ins, penalties, and aged fails.
  • Monitor trade matching through SWIFT and settlement platforms to meet market deadlines.
  • Perform daily cash and securities position reconciliations across multiple markets and currencies.
  • Investigate and resolve reconciliation breaks between internal ledgers and external custodians.
  • Produce operational reporting, work papers, root cause analyses, and management summaries.
  • Support regulatory controls, audits, examinations, and remediation efforts.
  • Partner with Engineering and Product to automate manual workflows and improve settlement processes.
  • Collaborate cross-functionally with Brokerage Operations, Trading, Finance, Compliance, and Customer Operations.

Requirements

  • 3+ years of experience supporting brokerage operations with a focus on global equity settlements.
  • Strong understanding of securities settlement lifecycles within a broker-dealer or carrying firm.
  • Experience working with third-party clearing firms and global custodians.
  • Knowledge of U.S. broker-dealer operations and financial industry regulations.
  • Familiarity with BNY Nexen or similar global custody settlement platforms.
  • Working knowledge of SWIFT settlement messaging (MT54x series), Euroclear, DTCC, and international settlement practices.
  • Experience settling securities across global markets, including Europe and Asia (Hong Kong, South Korea, and other international markets).
  • Strong expertise performing cash and position reconciliations across multiple currencies and markets.
  • Possess the Securities Industry Essentials (SIE) Exam and Series 99 license (or higher), or obtain the Series 99 within 180 days of hire.
  • Working knowledge of SQL, Metabase, Microsoft Office, and Google Workspace.
  • Excellent written, verbal, and interpersonal communication skills.
  • Strong organizational skills, attention to detail, and ability to manage multiple priorities independently.
  • Comfortable working remotely with distributed teams.
  • Ability to analyze operational data, identify trends, and adapt to changing regulatory requirements and business priorities.
  • Associate's or Bachelor's degree in Business, Finance, Accounting, Economics, or a related discipline (nice to have).
  • Five or more years of experience in brokerage operations, reconciliation, settlements, accounting, banking, or financial services (nice to have).
  • Experience with DTCC U.S. equity settlement processing (nice to have).
  • Knowledge of tokenized securities or digital asset settlement (nice to have).
  • Experience using AI-powered productivity tools such as Cursor, ChatGPT, or GitHub Copilot (nice to have).
  • Experience supporting automation initiatives with Engineering teams (nice to have).
  • Series 7 or additional FINRA licenses (nice to have).
  • Experience in a high-growth fintech or electronic brokerage environment (nice to have).

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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