AML Compliance Analyst

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Alpaca

WebsiteLinkedInAll Job Openings

201 - 500 employees

🔌 API

💳 Fintech

₿ Crypto

API • Fintech • Crypto

Alpaca is a fintech company that provides a comprehensive brokerage and trading platform through a suite of APIs. These APIs enable developers and businesses to integrate algorithmic trading, app development, and embedded investing into their services. Alpaca offers services like trading in US stocks, ETFs, and cryptocurrency with options for local currency transactions. The company is recognized for its cyber security practices and is a member of FINRA and SIPC. Alpaca is ideal for fintech startups, broker-dealers, hedge funds, and other financial services looking to build sophisticated trading applications and platforms with minimal friction through their well-documented Broker API.

📋 Description

• Support Alpaca Securities' BSA/AML, sanctions, anti-fraud, and securities surveillance programs • Collaborate with globally distributed teams to strengthen the Financial Crimes program and identify risks across CIP/KYC, AML, anti-fraud, and fraud monitoring initiatives • Investigate potentially suspicious activity through transaction monitoring alerts, escalations, and referrals • Complete transaction monitoring alerts, regulatory submissions, and case investigations within established deadlines and SLAs • Screen individuals, entities, and transactions against OFAC, global sanctions, PEP, enforcement, and adverse media watchlists • Review and respond to FinCEN 314(a) and 314(b) requests, law enforcement queries, and regulatory inquiries • Enhance transaction monitoring rules, policies, procedures, controls, and risk frameworks • Maintain thorough, defensible audit trails for investigations, alert dispositions, and compliance decisions • Identify and escalate critical risks, emerging trends, and compliance gaps to management • Prepare SAR recommendations and narratives and support approved SAR filings with FinCEN • Assist with risk assessments, remediation efforts, external audits, examinations, and regulatory engagements • Maintain knowledge of regulatory developments, financial crime typologies, trading behaviors, and regulatory expectations • Conduct CIP/KYC, CDD, and EDD reviews • Evaluate source of funds, source of wealth, occupation, expected activity, and customer purpose • Review and disposition AML, sanctions, and securities-surveillance alerts end to end • Assist with due diligence and ongoing monitoring of introducing brokers, omnibus partners, correspondents, and other intermediaries

🎯 Requirements

• 3–5 years of experience in Financial Crime/AML investigations • Strong understanding of U.S. regulatory requirements, including BSA/AML, USA PATRIOT Act, and SEC/FINRA regulations • Familiarity with trading activity and financial crime typologies including spoofing, layering, wash trading, front-running, insider trading, fraud, and manipulative order behavior • Ability to identify and escalate unusual activity and document investigations in a clear, concise, audit-ready manner • Strong investigative writing skills for case narratives and SAR recommendations • Strong analytical skills, sound judgment, attention to detail, and ability to prioritize multiple tasks and deadlines • Experience using transaction-monitoring, sanctions-screening, case-management, fraud-monitoring, or securities-surveillance systems • Ability to work independently and adapt to changing business and regulatory environments • Experience conducting open-source intelligence research and evaluating public records, adverse media, corporate information, and other investigative sources • Working knowledge of domestic and international payment systems • Ability and willingness to work with meaningful overlap with U.S. Eastern Time

🏖️ Benefits

• 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