Registered Brokerage Client Services Supervisor
• Mid-Level
• Remote
• Finance/Legal & Compliance
Mark status as:
✨ The Role in One Sentence
Alpaca is seeking a Registered Brokerage Client Services Supervisor to oversee client services, resolve issues, and ensure regulatory compliance.
📋 What You'll Likely Do
30%: Serve as a primary point of contact for clients and broker partners, troubleshooting issues and escalating inquiries.
30%: Oversee the resolution of operational and trading inquiries, ensuring compliance with internal policies and regulations.
20%: Monitor risk and trade surveillance activities to ensure compliance, escalating irregularities as needed.
🧑💻 Profiles Doing This Job
High Priority: 3+ years of experience in a brokerage client service role.
High Priority: Active FINRA Series 7 and 24 licenses.
High Priority: Deep understanding of brokerage operations and regulatory requirements.
📈 How This Role Will Look on Your CV
Oversaw client services and ensured regulatory compliance in a brokerage environment.