Director of Compliance

🕒 Janeiro 26

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Alpaca

SiteLinkedInTodas as Vagas

201 - 500 funcionários

🔌 API

💳 Fintech

₿ Cripto

API • Fintech • Crypto

Alpaca é uma empresa de fintech que fornece uma plataforma completa de corretagem e negociação por meio de um conjunto de APIs. Essas APIs permitem que desenvolvedores e empresas integrem trading algorítmico, desenvolvimento de apps e investimentos embutidos aos seus serviços. A Alpaca oferece serviços como negociação de ações dos EUA, ETFs e criptomoedas, com opções para transações em moeda local. A empresa é reconhecida por suas práticas de segurança cibernética e é membro da FINRA e da SIPC. A Alpaca é ideal para startups de fintech, broker-dealers, hedge funds e outras empresas de serviços financeiros que buscam criar aplicações e plataformas de negociação sofisticadas, com o mínimo de fricção, por meio de sua Broker API bem documentada.

Descrição

• Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm. • Partner with business units to understand workflows, monitor controls, and implement compliance process improvements. • Draft, update, and maintain compliance policies and supervisory procedures. • Review advertising, marketing, and electronic communications for regulatory compliance. • Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses. • Assist in the preparation and submission of required regulatory filings and reports. • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads. • Assist in the preparation and submission of required regulatory filings and reports. • Experience with new product launches and ongoing product governance.

🎯 Requisitos

• 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. • Strong written communication skills for drafting regulatory documentation and policies. • 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. • High ethical standards and a commitment to maintaining confidentiality. • Bachelor's degree in Finance, Business, Law, or a related field. • Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.

🏖️ Benefícios

• Competitive Salary & Stock Options • Health Benefits • New Hire Home-Office Setup: One-time USD $500 • Monthly Stipend: USD $150 per month via a Brex Card