Registered Brokerage Client Services Supervisor

Remote - APAC

Who We Are:

Alpaca is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more, and has raised over $170 million in funding. Amongst our subsidiaries, Alpaca is a licensed financial services company in multiple countries, and we serve hundreds of financial institutions globally such as broker-dealers, investment advisors, hedge funds, and crypto exchanges.

Alpaca’s globally distributed team members bring in diverse experiences such as engineers, traders, and brokerage professionals to achieve our Mission of opening financial services to everyone on the planet. We are also deeply committed to open-source contributions and fostering a vibrant community. We will continue to enhance and improve our award-winning developer-friendly API and the infrastructure behind it.



Our Team Members:

We’re a team of 200+ globally distributed members who love working from our favorite places worldwide. Our team spans the USA, Canada, Japan, Hungary, Nigeria, Brazil, the United Kingdom, and more!

We’re looking for candidates eager to join Alpaca’s growing organization, who are excited about our Mission of “Open financial services to everyone on the planet and share our Values of “Stay Curious,” “Have Empathy,” and “Be Accountable.”

 

Things You Get To Do:

 

  • Serve as a primary point of contact for clients and broker partners during ET overnight hours, troubleshooting operational and technical issues, and proactively identifying, escalating, and assisting in the resolution of inquiries and incidents.

  • Deliver exceptional service to clients and broker partners in alignment with internal policies and brokerage regulations, while overseeing the resolution of operational and trading inquiries.

  • Assist in the development, documentation, and ongoing enhancement of client service procedures and supervisory systems, including Written Supervisory Procedures (WSPs).

  • Support critical overnight brokerage functions by submitting and processing operational requests as directed by the brokerage team or client/broker partners, ensuring seamless global coverage.

  • Monitor overnight risk and trade surveillance activities to ensure compliance with internal policies, escalating any irregularities or suspicious activity as needed.

  • Support global settlements by ensuring timely and accurate post trade processing within a 24/5 trading environment.



Who You Are (Must-Haves):

  • Passionate about Alpaca’s mission and the innovative solutions we are building

  • 3+ years of experience in a brokerage client service role within the securities industry

  • Active FINRA Series 7 and 24 licenses

  • Deep understanding of brokerage operations, including new account onboarding, cashiering, trade support, margin, account maintenance, reconciliations, and client servicing

  • Solid knowledge of FINRA, SEC, and all other regulatory requirements

  • Exceptional attention to detail, with a strong focus on accuracy, reliability, and performance in a fast-paced environment

  • Flexible and adaptable, with the ability to navigate a dynamic business and regulatory landscape

  • Strong analytical, leadership, and communication skills

  • Capable of exercising sound independent judgment and decision-making within established guidelines

How We Take Care of You:

  • Competitive Salary & Stock Options
  • Health Benefits
  • New Hire Home-Office Setup: One-time USD $500
  • Monthly Stipend: USD $150 per month via a Brex Card

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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