Brokerage Operations Associate I - ACATS
AlpacaAPI Brokerage company
RemoteMid
Drive Capital
Spark Capital
Tribe Capital
Horizons Ventures
Portage Ventures
Social Leverage
Operations & Strategy
About the role
TL;DR
Process ACATS and non-ACATS transfers for a Fintech broker-dealer.
- •This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space, with a B2B clearing platform supporting a wide network of partner brokers and API-driven workflows.
- •You will focus on ACATS and non-ACATS transfers, working as a key member of the Transfers team that handles incoming and outgoing account movements across our partner ecosystem.
- •Key Responsibilities Process daily incoming and outgoing ACATS within industry timelines.
- •Handle communications with contra firms, transfer agents, and partner brokers.
- •Drive continuous operational improvement through root cause analysis.
- •Serve as the firm's Subject Matter Expert on transfers.
- •Requirements 2+ years of ACATS experience, with hands-on industry portal usage.
- •Working knowledge of NSCC / DTCC rules, FINRA Rule 11870.
- •Knowledge of U.S. broker-dealer back-office operations.
- •Basic knowledge of SQL, Metabase, or similar query tools.
- •Possess the SIE and Series 99 (or higher securities license), or achieve a passing result on the Series 99 within the first 180 days of employment.
Required skills
SQL
Domain expertise
fintech
Benefits & perks
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
Tech stack
SQL