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Alpaca is a US-headquartered fintech leader providing agent-first brokerage infrastructure APIs for stocks, ETFs, options, crypto, and fixed income trading. The company serves hundreds of financial institutions across 40 countries with institutional-grade APIs, supporting over 10 million brokerage accounts. Alpaca is backed by $400M in funding from top-tier investors including Spark Capital, Tribe Capital, and Y Combinator.
You will join the Transfers team as a Brokerage Operations Associate, focusing on ACATS (Automated Customer Account Transfer Service) and non-ACATS transfers. This role is critical as Alpaca transitions to self-clearing operations. You'll process daily incoming and outgoing ACATS transfers within industry timelines, validate client information and asset eligibility, and handle DTC/FOP transfers, fail reversals, and nonstandard transfer types (PTR, PTD, RCL, RCR, FRV, MFC, PTF).
Key responsibilities include identifying documentation and processing irregularities, executing reject paths, and applying controls to prevent errors. You'll communicate with contra firms, transfer agents, and partner brokers to coordinate rejections, accelerations, reclaims, and documentation issues. You'll run mass account transfers and conversions, partner with engineering to automate self-clearing workflows, and drive continuous operational improvement through root cause and trend analysis.
You'll serve as the firm's subject matter expert on transfers, handling policy-related queries and preparing documentation for special projects. The team is 100% distributed and remote, requiring strong independent work capability with hard daily cutoffs.
Required qualifications: 2+ years of hands-on ACATS experience with industry portal usage; working knowledge of NSCC/DTCC rules and FINRA Rule 11870; understanding of US broker-dealer back-office operations including DTC settlements, FOP transfers, and Fund/SERV; ability to identify irregularities and outline corrective measures; excellent written and verbal communication; basic SQL/Metabase or similar query tool knowledge; comfort with internal tools, industry portals, and ticketing systems; ability to adapt to evolving regulatory landscape; SIE and Series 99 securities licenses (or Series 99 within 180 days).
