Brokerage Operation Associate II \(New Accounts Principal\)
• Mid-Level
• Remote
• Finance/Legal & Compliance
Mark status as:
✨ The Role in One Sentence
We’re looking for a detail-oriented, proactive New Accounts Principal to join our fast-growing team, overseeing account openings and shaping how we scale, improve, and support them.
📋 What You'll Likely Do
30%: Review and approve new accounts in line with Alpaca’s KYC and CIP procedures.
30%: Act as a subject matter expert for escalated issues, partnering closely with analysts and internal teams.
40%: Contribute to the creation and maintenance of procedures, playbooks, FAQs, and data-driven documentation.
🧑💻 Profiles Doing This Job
High Priority: 3+ years of experience in brokerage operations, client onboarding, or compliance.
High Priority: Series 7, 24, and 4 registration.
High Priority: Deep understanding of KYC, CIP, and relevant FINRA/SEC regulations.
📈 How This Role Will Look on Your CV
Ensured compliance with KYC and CIP requirements for U.S. and international customers.