Brokerage Operations Associate II - New Accounts Principal
Alpaca
Accounting, Auditing & Finance
IT & Telecoms
₵
Confidential
New
5 days ago
Job Summary
As the New Accounts Principal, you will have a direct impact on the Firm’s brokerage account opening production and processes. The New Accounts Principal will serve in a producer, supervisor, and service role. The service focused New Accounts Principal reviews and approves new accounts, while applying fraud and risk prevention measures. The New Accounts Principal will become a subject matter expert for escalated issues from account analysts, clients, and partners.
- Minimum Qualification: Degree
- Experience Level: Mid level
- Experience Length: 3 years
Job Description/Requirements
Things You Get To Do:
- Enforce the Firm’s Customer Identification Program (“CIP”)
- Review, process, and approve new accounts, account updates, and analyst escalated issues
- Enforce customer identification documentation requirements in accordance with firm CIP and industry standards
- Perform Principal reviews of account updates and approvals
- Communicate with internal and external partners and clients regarding account status
- Provide input into new procedures and processes and help improve the client experience
- Ad hoc duties and projects as assigned
Who You Are (Must-Haves):
- 3 + year of brokerage operations experience
- Series 24
- Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
- Ability to work effectively and supportively within a team environment and ability to work independently
- Must possess the ability to adapt to a changing business and regulatory environment
- Enjoys challenges and taking ownership of new responsibilities
- Client Service focus
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