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Brokerage Operations Associate I - ACATS

Alpaca -
Westlake, TX

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Job Details

2 days ago

Benefits

Stock options
Health insurance

Qualifications

Internal controls
Documentation tools
Industry knowledge of financial regulations
FINRA License
Data analytics tools
Documentation reviews

Full Job Description

Who We Are:

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.

Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts.

Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.

Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.

Our Team Members:

We're a dynamic team of 400+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!

We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.

Your Role:

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.

We're looking for someone who brings deep operational expertise in account transfers, thrives in a fast-paced and ever-evolving regulatory environment, and is excited to help build out our transfers function as we transition to self-clearing. Working collaboratively with internal and external partners, you'll play a key role in delivering accurate, timely, and compliant transfer processing while shaping the procedures and controls that support business continuity. The team is 100% distributed and remote.

Things You Get To Do:

Process daily incoming and outgoing ACATS within industry timelines, validating client information, contra accounts, and asset eligibility across the full transfer lifecycle
Process DTC / FOP (Free of Payment) transfers, ACATS Free Deliveries, Fail Reversals, and nonstandard transfer types (PTR, PTD, RCL, RCR, FRV, MFC, PTF)
Identify documentation and processing irregularities, execute the correct reject paths, and apply controls to prevent errors
Handle communications with contra firms, transfer agents, and partner brokers, coordinating on rejections, accelerations, reclaims, and documentation
Run mass account transfers and conversions, both internal and external
Partner with engineering to automate daily self-clearing workflows
Drive continuous operational improvement through root cause analysis, trend analysis, and updates to the control framework
Serve as the firm's Subject Matter Expert on transfers, acting as a referral point for policy-related queries
Prepare summary documentation for special projects and participate in cross-functional initiatives as assigned

Who You Are (Must-Haves):

2+ years of ACATS experience, with hands-on industry portal usage and a strong understanding of the ACATS cycle, status progression, and industry timing requirements
Working knowledge of NSCC / DTCC rules, FINRA Rule 11870, and standard vs. nonstandard transfer flows
Knowledge of U.S. broker-dealer back-office operations, including DTC settlements, FOP transfers, Fund/SERV, and contra account formats across major U.S. broker-dealers
Ability to identify documentation and processing irregularities, draw logical conclusions, and outline corrective measures
Excellent written and verbal communication skills, with strong attention to detail and the ability to work both independently and collaboratively in a remote, fast-paced environment with hard daily cutoffs
Basic knowledge of SQL, Metabase, or similar query tools, and comfort navigating internal tools, industry portals, ticketing systems, and Google/Microsoft document solutions
Ability to adapt to an evolving regulatory landscape and contribute to a self-clearing operational build-out, while embodying our tenets: Stay Curious, Have Empathy, Be Accountable
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

Who You Might Be (Nice-to-Haves):

Associate's degree in a business-related field and 5+ years of experience in ACATS, treasury or cashiering operations, banking, or financial services
Series 7
Hands-on experience processing ACATS on DTCC's portal as a deliverer, or supporting a firm's transition to self-clearing
Exposure to ACATS-Fund/SERV, options/annuity/UIT transfers, non-ACATS transfer agent workflows, or API-driven partner brokers

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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Refine Your Search

associate broker jobs in texas

Brokerage Operations Associate I - ACATS

SP - Associate Broker

Associate Broker – Debt & Structured Finance

Associate Broker - Wholesale Insurance Brokerage - Casualty

Associate, Brokerage

Associate Broker

Associate Producer/Broker

Pawn Broker/Sales Associate

Commercial Real Estate Brokerage Associate - Business Development

Sales Associate/Pawn Broker

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