Director of Compliance
Who We Are: Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series C funding round brought our total investment to over $170 million, fueling our ambitious vision. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 6 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.
Our Team
Members: We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond! We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply. Your Role: The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm’s compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships. Things You Get To Do:
- 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.
Who You Are (Must-Haves):
- 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.
How We Take Care of You:
- 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
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce. Recruitment Privacy Policy Apply tot his job Apply To this Job