Securities Trading and Trade Reporting Specialist
Job Posting for Securities Trading and Trade Reporting Specialist at Alpaca
Your Role:
This is an opportunity to join a Fintech startup at an exciting time! As the Securities Trading and Reporting Specialist, you will help build out trade reporting, assist the Best-Execution Committee, monitor order flow and more.
Things You Get To Do:
- Assist in the Firm’s Best-Execution Program by reviewing post-trade exception reports.
- Review Trade Surveillance reports and take appropriate action to resolve alerts
- Monitor order flow for irregularities
- Timely resolution of client trade escalations
- Ensure trade reporting is completed in an accurate and timely manner
- Monitor trade reporting error logs and ensure timely resolution of discrepancies
- Trade Reporting
- Ensure the Firm follows regulatory requirements of trade reporting by reviewing the Firm’s submissions to:
- TRF
- ORF
- CAT
- CAIS
- Identify Trade Reporting inefficiencies and help develop proposed solutions
- Manage the Firm’s LTID list
- Create/update policies and procedures as needed
- Conduct bi-weekly Trade Reporting Meetings
- Assist in the preparation of the monthly Best Execution Reports
- Help maintain Best Execution Index and analyze equity and option orders
- Prepare quarterly 606 Reporting
- Reconciliation of firm error and inventory accounts
- Maintain firm GTC order book
- Ad Hoc duties and responsibilities as assigned
Who You Are (Must-Haves):
- Excited about Alpaca’s mission and what we’re building
- Series 7 and 57 required
- 3 years of trading or brokerage operations experience
- Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
- 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
Salary.com Estimation for Securities Trading and Trade Reporting Specialist in Orlando, FL
$135,700 to $196,391
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