Brokerage Operations Associate I - ACATS

Remote

Responsibilities

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
Drive continuous operational improvement through root cause analysis, trend analysis, and updates to the control framework
Prepare summary documentation for special projects and participate in cross-functional initiatives as assigned Who You Are (Must-Haves):

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.
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
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