Senior Compliance Manager

🕒 January 26

🇺🇸 United States – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 Ghost score 69%

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

• Report to the Chief Compliance Officer and support all aspects of the Firm’s compliance program. • Work closely across business lines and functions to align and execute compliance initiatives. • 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 by gathering data, preparing documentation, and coordinating responses. • Assist in preparing and submitting required regulatory filings and reports. • Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads. • Support new product launches and ongoing product governance.

🎯 Requirements

• At least 7 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