Director of Compliance

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Alpaca

Site WebLinkedInTous les Emplois

201 - 500 employés

🔌 API

💳 Fintech

₿ Crypto

API • Fintech • Crypto

Alpaca est une fintech qui propose une plateforme complète de courtage et de trading via une suite d’API. Ces API permettent aux développeurs et aux entreprises d’intégrer le trading algorithmique, le développement d’applications et l’investissement embarqué à leurs services. Alpaca propose des services tels que le trading d’actions américaines, d’ETF et de cryptomonnaies, avec des options de transactions dans la devise locale. L’entreprise est reconnue pour ses pratiques de cybersécurité et est membre de la FINRA et de la SIPC. Alpaca s’adresse idéalement aux startups fintech, aux courtiers-négociateurs (broker-dealers), aux hedge funds et à d’autres acteurs des services financiers qui souhaitent créer des applications et des plateformes de trading avancées, avec un minimum de frictions, grâce à leur Broker API bien documentée.

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.

🎯 Exigences

• 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.

🏖️ Avantages

• 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