Brokerage Operations Manager

Responsibilities

• Monitor customer margin and option risk in near-real-time to manage trading exposure
• Review daily reporting and take appropriate action for exceptions
• Process margin calls in compliance with Federal Reserve Regulation T and FINRA Rule 4210
• Perform option expiration processes and risk mitigation
• Review fraud alerts on a daily basis
• Drive process improvements and operational efficiencies
• Support customer service initiatives and ad hoc projects as assigned

Requirements

• Series 7 and 63 required (Series 4 preferred or ability to obtain within three months)
• 3+ years of brokerage operations experience
• Strong knowledge of FINRA and OCC regulations and systems
• Experience with margin and options risk monitoring
• Deep understanding of Regulation T and FINRA Rule 4210 compliance
• Strong attention to detail, accuracy, and reliability in a fast-paced environment
• Ability to work both independently and collaboratively within a team
• Adaptability to changing business and regulatory environments

About the Company

Alpaca is a US-headquartered self-clearing broker-dealer and global brokerage infrastructure platform serving stocks, ETFs, options, crypto, fixed income, and 24/5 trading. The company powers hundreds of financial institutions across 40 countries with institutional-grade APIs, supporting over 9 million brokerage accounts. Alpaca has raised over $320 million in funding and operates as a fully remote team of 230+ members worldwide.