Director, Corporate Actions

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

⏰ Full Time

🔴 Lead

👔 Director

👻 Ghost score 24%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Own the Global Corporate Actions function end-to-end across U.S. and international markets • Lead the Corporate Actions organization across mandatory and voluntary events, including dividends, splits, mergers, exchanges, tenders, rights, redemptions, spin-offs, elections, and security lifecycle changes • Establish and own the supervisory framework, including maker-checker standards, control gates, reconciliations, exception management, escalation thresholds, and evidence of review • Ensure accurate and timely processing with required supervisory and system checks • Own material Corporate Actions incidents from containment through root cause analysis, remediation, and permanent control or system improvement • Partner with Security Master, Trading, Ledger, Product, Engineering, and Operations leadership to eliminate recurring failure modes and strengthen front-to-back controls • Drive automation, observability, reconciliation, and exception tooling to reduce manual processing and improve scalability • Build a common global operating model across markets, custodians, depositories, currencies, tax regimes, deadlines, and local market conventions • Develop the Corporate Actions team, strengthen subject-matter depth and succession coverage, and reduce reliance on tribal knowledge • Establish controls over event terms, Security Master data, eligible positions, expected entitlements, elections, withholding, cash, stock, fractions, and exceptions • Ensure customer-impacting events are pre-processed and reconciled before market or payment deadlines • Oversee controlled booking of entitlements, including retries, reversals, manual adjustments, and exception handling • Ensure bookings propagate correctly across Back Office, Front Office, Security Master, Ledger, Trading, margin, buying power, and customer positions • Design controls preventing customers from trading against incorrect post-event positions, symbols, or quantities • Require post-processing reconciliation to internal books and records, custodians, depositories, paying agents, and other authoritative sources • Define approval thresholds, tolerances, escalation standards, supervisory evidence, event closure requirements, and management reporting

🎯 Requirements

• 8+ years of Corporate Actions experience within a broker-dealer, clearing firm, custodian, bank, or comparable financial institution • Prior leadership experience managing a Corporate Actions or securities operations function • Deep hands-on knowledge of mandatory and voluntary Corporate Actions, including dividends, reorganizations, splits, mergers, tenders, rights, redemptions, elections, entitlements, and security lifecycle events • Strong knowledge of U.S. market infrastructure, including DTCC/DTC Corporate Actions processes • Meaningful international Corporate Actions experience across multiple markets, custodians, currencies, withholding regimes, and local market conventions • Deep understanding of how Corporate Actions bookings flow through broker-dealer books and records, position systems, front-office trading systems, margin, and customer-facing balances • Demonstrated understanding of risks created when Security Master, back-office positions, and front-office tradability are not synchronized around an effective-date event • Experience operating in a retail brokerage or clearing environment requiring pre-processing with strong pre-reconciliation controls before final depository confirmation • Proven experience designing and supervising maker-checker controls, reconciliations, exception-management processes, and operational risk frameworks • Demonstrated ownership of high-risk production functions with financial, customer, trading, settlement, margin, or regulatory exposure • Strong incident-management discipline and track record of permanent process and technology remediation • Ability to challenge control design, identify structural weaknesses, and hold teams accountable for remediation • Strong ability to partner with Product and Engineering and translate operational risk into scalable system requirements • Clear, concise communication with senior leadership, partners, auditors, regulators, custodians, and technical teams • Comfortable operating independently in a fast-paced, technology-driven, high-growth environment • Alignment with Alpaca’s company tenets: Stay Curious, Have Empathy, Be Accountable

🏖️ 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