Alpaca
Director of Compliance
Remote - Americas · Director
Sponsorship not specifiedDetected 19 days ago
SparkCommunicationOrganizational Skills
About the role
- This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives.
- Review advertising, marketing, and electronic communications for regulatory compliance.
Responsibilities
- Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
- Draft, update, and maintain compliance policies and supervisory procedures.
- Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
Requirements
- At least 10 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in a broker-dealer and clearing firm environment.
- Deep knowledge of U.S. securities regulations, including FINRA/SEC rules, and registration/licensing obligations.
- Proven ability to work independently and produce actionable compliance work, not just advisory guidance.
- Ability to operate effectively in a fast-paced, global environment with evolving regulatory requirements.
- Proficiency in using compliance software and tools.
- Bachelor's degree in Finance, Business, Law, or a related field.
- Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
- Assist in the preparation and submission of required regulatory filings and reports.
Nice to have
- additional licenses and designations are a plus.
- Required FINRA licenses: Series 7, 24
Skills
- Strong written communication skills for drafting regulatory documentation and policies.
Compensation
- One-time USD $500
- USD $150 per month via a Brex Card
Benefits
- Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision.
- Competitive Salary & Stock Options
- Health Benefits
- Monthly Stipend: USD $150 per month via a Brex Card
Company info
- Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision.
- Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts.
- Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. 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.
- Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.
- Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.
- Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs.
- This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts.
- Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet.
- 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.
- Our Team Members:
- We're a dynamic team of 380+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!
- We're searching for passionate individuals eager to contribute to Alpaca's rapid growth.
- If you align with our core values-Stay Curious, Have Empathy, and Be Accountable-and are ready to make a significant impact, we encourage you to apply.
Equal opportunity
- Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
- equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
This listing is sourced directly from Alpaca's careers page and normalized into a canonical job model.