Brokerage Operations Associate - Cashiering & ACATS


Accounting, Auditing & Finance

IT & Telecoms Confidential
1 week ago

Job Summary

This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on money movements and ACAT transfers. The team is 100% distributed and remote. The role will be reporting directly to one of the Firm’s Director of Operations.

  • Minimum Qualification: Degree
  • Experience Level: Mid level
  • Experience Length: 2 years

Job Description/Requirements

Things You Get To Do:


  • Assist with the funding flows in and out of our Broker Dealer, Alpaca Securities, via ACH deposits and withdrawals, or wire transfers via our banking partners. 
  • Process internal money movements via our in-house journal system.
  • Process as needed, incoming and outgoing money movement using either our ACH, or domestic and international wire function.
  • Make sure funds incoming and outgoing are posted timely and accurately.
  • Resolve inquiries and assist our Client Support team with cashiering type of questions or requests.
  • Participating in a variety of departmental projects—both operational and in support of our company culture—and taking on additional responsibilities, as needed by your leadership team.
  • Responsible for reviewing and processing daily reports dealing with cashiering functions and tasks.
  • Report any red flags to our internal AML department involving movement requests for deposits or withdrawals.
  • Research and respond to escalations tickets as assigned by our client support team.
  • Coordinate with other Operational departments to ensure thorough processing of daily work.
  • Assist with documenting procedures and updates processes as needed.


  • Work with and offer assistance to internal and external customers with daily incoming and outgoing Account Transfer Requests.
  • Handle communications with Contra firms, and Transfer Agents
  • Process Mass Account Transfers/Conversions (internal and external)
  • Serve as the Firm’s Subject Matter Expert on Transfers do’s and don’ts 
  • Research and respond to inquiry tickets regarding Account Transfers 
  • Ensures ACAT requests are processed within the firm's timelines for processing and as outlined by industry guidelines.
  • Must be familiar with ACAT systems (NSCC), regulations and industry practices that govern both ACATs and non-ACAT transfers. 
  • Able to identify documentation/processing irregularities and outline corrective measures.
  • Assist with documenting procedures and updates processes as needed.

Who You Are (Must-Haves):

  • Excellent written and verbal communication skills.
  • Providing insights for continuously improving our client experience and providing efficiency.
  • Ability to work independently in a fast-paced environment with multiple priorities
  • Possess general knowledge of U.S. securities back office operations of a broker-dealer and/or carrying firm.
  • Must be able to follow company tenets of:
    • Stay Curious
    • Have Empathy
    • Be Accountable
  • Be able to work in a remote environment
  • Have strong customer service skills
  • Have basic knowledge of SQL, metabase, or other database coding language 
  • Easily adapt between Microsoft and Google document and spreadsheet solutions
  • Be flexible to assist other functional areas when necessary
  • Support department initiatives and company vision
  • Must be able to change and adapt to the ever-changing regulatory landscape of the financial industry.
  • Possess a Series SIE and 99 or higher securities license or achieve a passing result on the 99 within the first 90 days of employment.
  • Minimum of 2+ years of experience in the brokerage industry specifically in the cashiering and account transfer departments

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