Margin Clerk jobs in Charlotte, NC

Your Role:

This is an opportunity to join a Fintech startup at an exciting time! As the Brokerage Operations Margin and Option Associate, you’ll partner with the Director of Brokerage Operations in monitoring customer margin and option risk in real time.

Things You Get To Do:

• Monitor customer activity in near real time for trading exposure in margin and option trading
• Review daily reporting and take appropriate action for exceptions
• Follow Federal Reserve Reg T and FINRA rule 4210 processing margin calls
• Perform option expiration processes and risk mitigation
• Customer Service focus
• Drive process improvements and efficiencies
• Review fraud alerts on day to day basis
• Ad hoc duties and projects as assigned

Who You Are (Must-Haves):

• Excited about Alpaca’s mission and what we’re building
• Series 7 and 63 required, series 4 preferred or ability to obtain within three months of employment
• 3 years of brokerage operations experience
• Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
• Experience with FINRA, OCC regulations and systems
• Ability to work effectively and supportively within a team environment and the ability to work independently
• Must possess the ability to adapt to a changing business and regulatory environment
• Enjoys challenges and taking ownership of new responsibilities

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

• Bachelor's degree or equivalent experience