Director of Compliance

🕒 January 26

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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

• 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.

🎯 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. • 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.

🏖️ 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