Brokerage Operation Associate II (New Accounts Principal)

Your Role:

We’re looking for a detail-oriented, proactive New Accounts Principal to join our fast-growing team. This role sits at the heart of our brokerage operations accounts department, not just overseeing account openings, but actively shaping how we scale, improve, and support them.

As the New Accounts Principal, you’ll play a key role in our onboarding production and processes, serving in a hands-on, supervisory, and service capacity. You’ll review and approve new brokerage accounts in line with Alpaca’s KYC and CIP procedures, apply fraud and risk controls, and help ensure that every account opened meets our compliance standards.

You’ll also act as a subject matter expert for escalated issues, partnering closely with analysts, internal product and engineering teams, and external partners. This is a great opportunity for someone who’s comfortable navigating evolving processes, can spot gaps before they become problems, and is eager to contribute to building thoughtful, scalable systems, while some of those systems are still taking shape.

If you're someone who values precision, takes follow-up and follow-through seriously, and thrives in a space where structure is still being built, we’d love to talk.

The Operations Accounts Team is 100% distributed and remote.  This role will be reporting directly to the Director of Operations.

 Things You Get To Do:

• Ensure compliance with the Firm’s KYC and CIP requirements for U.S. and international customers
• Review, process, and approve new accounts, account updates, options applications, and escalated KYC/CIP issues
• Verify customer identification documentation in accordance with internal policy and regulatory standards
• Perform supervisory principal reviews for new account approvals
• Collaborate cross-functionally with support, product, engineering, risk and compliance, customer success, and partners
• Contribute to the creation and maintenance of procedures, playbooks, FAQs, and data-driven documentation
• Identify inefficiencies and manual workflows, clearly communicate solution requirements to product or engineering, and drive resolution through implementation and follow-up
• Bring metrics and insight to process effectiveness and bottlenecks
• Execute on ad hoc initiatives, projects, and remediations
• Act as a subject matter expert in onboarding flows and customer identity requirements
  
  

 Who You Are (Must-Haves):

• 3+ years of experience in brokerage operations, client onboarding, or compliance
• Series 7, 24, and 4 registration
• Deep understanding of KYC, CIP, and relevant FINRA/SEC regulations
• Experience reviewing customer identity documentation and conducting diligence reviews
• Exceptional organizational skills and attention to detail
• Comfortable navigating multiple communication channels (Slack, email, ticketing tools) while maintaining clarity and accountability
• Natural project and task owner, known for follow-up, follow-through, and documentation
• Comfortable in an environment where not everything is built yet, and willing to work in it while building it
• Thrives in a fast-paced, ever-changing environment with high ambiguity and constant learning
• High capacity for managing wide-ranging responsibilities and shifting priorities without losing focus on detail or follow-through

 Who You Might Be (Nice-to-Haves):  

• Bachelor's degree or equivalent experience
• Experience supporting a global customer base
• Exposure to AML frameworks or sanctions screening
• Analytical mindset with the ability to identify trends in data and process
• Prior experience onboarding and reviewing business entities (KYB, EDD, ownership structures)
• Ability to retain and organize operational knowledge that may not be well documented or easily retrievable
• Possess foundational technical fluency (e.g., APIs, data terminology, basic architecture) to engage product, engineering, and data partners effectively and translate operational problems into actionable solutions.