Alpaca
Financial Services
BrokerageOperationsAssociate-ACATS
Neural analysis suggests this role is
optimal for Mid+ candidates.
“Brokerage Operations Associate - ACATS at Alpaca. Skills: ACATS, Brokerage operations, Transfer processing. Process daily incoming ACATS. Process daily outgoing ACATS”
Industry & Context.
Root cause analysis; Trend analysis
What They're Looking For.
Must Have
2+ years of ACATS experience, Hands-on industry portal usage, Understanding of ACATS cycle, Working knowledge of NSCC / DTCC rules, FINRA Rule 11870 knowledge, Knowledge of U. S. broker-dealer back-office operations, DTC settlements knowledge, FOP transfers knowledge, Fund/SERV knowledge, Contra account formats knowledge, Ability to identify documentation irregularities, Ability to identify processing irregularities, Ability to draw logical conclusions, Ability to outline corrective measures, Excellent written communication skills, Excellent verbal communication skills, Attention to detail, Ability to work independently, Ability to work collaboratively, Basic knowledge of SQL, Basic knowledge of Metabase, Comfort navigating internal tools, Comfort navigating industry portals, Comfort navigating ticketing systems, Comfort navigating Google document solutions, Comfort navigating Microsoft document solutions, Ability to adapt to evolving regulatory landscape, Embody Stay Curious, Embody Have Empathy, Embody Be Accountable, Possess SIE, Possess Series 99, Achieve passing result on Series 99 within 180 days
Nice to Have
Associate's degree in business-related field, 5+ years of ACATS experience, 5+ years treasury operations experience, 5+ years cashiering operations experience, 5+ years banking experience, 5+ years financial services experience, Series 7, Hands-on ACATS processing on DTCC portal, Experience supporting firm's transition to self-clearing, Exposure to ACATS-Fund/SERV, Exposure to options transfers, Exposure to annuity transfers, Exposure to UIT transfers, Exposure to non-ACATS transfer agent workflows, Exposure to API-driven partner brokers
What You'll Do.
Process daily incoming ACATS
Process daily outgoing ACATS
Validate client information
Validate contra accounts
Validate asset eligibility
Process DTC / FOP transfers
Process ACATS Free Deliveries
Process Fail Reversals
Process nonstandard transfer types
Identify documentation irregularities
Identify processing irregularities
Execute correct reject paths
Apply controls to prevent errors
Handle communications with contra firms
Handle communications with transfer agents
Handle communications with partner brokers
Coordinate on rejections
Coordinate on accelerations
Coordinate on reclaims
Coordinate on documentation
Run mass account transfers
Run mass account conversions
Partner with engineering to automate workflows
Drive continuous operational improvement
Perform root cause analysis
Perform trend analysis
Update control framework
Act as Subject Matter Expert on transfers
Referral point for policy queries
Prepare summary documentation for projects
Participate in cross-functional initiatives
How You'll Work.
Team & Collaboration
Internal partners; External partners; Cross-functional initiatives; Engineering team
Communication Scope
Written communication; Verbal communication
Full Job Description
Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator. Our Team Members: We're a dynamic team of 380+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space, with a B2B clearing platform supporting a wide network of partner brokers and API-driven workflows. You will focus on ACATS and non-ACATS transfers, working as a key member of the Transfers team that handl
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