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Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure serving hundreds of financial institutions across 40 countries. The company provides institutional-grade APIs for stocks, ETFs, options, crypto, fixed income, and 24/5 trading, supporting over 10 million brokerage accounts. Backed by $400 million in funding from top-tier investors including Spark Capital, Tribe Capital, and Y Combinator, Alpaca operates a globally distributed team of 400+ members.
You will join the Risk team as a Due Diligence Analyst, supporting the onboarding of new partners—including international fintechs and financial institutions—by ensuring compliance with due diligence, risk, compliance, and AML standards before launch. This is a hands-on, partner-facing role at the intersection of risk management, third-party due diligence, compliance, operations, and project execution.
Key responsibilities include:
- Conduct due diligence reviews for new and existing partners (fintech companies, financial institutions, vendors, third-party service providers)
- Communicate with prospective and onboarding partners globally to clarify requirements, timelines, and documentation needs
- Execute third-party risk management processes including KYC, KYB, enhanced due diligence, policy/procedure reviews, customer onboarding flow reviews, and risk assessments
- Review partner documentation for completeness, consistency, and risk indicators
- Track onboarding progress, follow up on outstanding items, and ensure timely document submission
- Respond to partner questions and escalate issues as needed
- Collaborate with internal teams (Operations, Compliance, AML, Legal, Product, Project Management) to ensure partner integrations meet requirements
- Identify process gaps and recurring issues; contribute to improvements in onboarding and diligence workflows
- Maintain accurate records of diligence reviews, decisions, approvals, and supporting documentation
The ideal candidate is organized, analytical, comfortable with external stakeholder communication, and able to manage multiple onboarding workstreams in a fast-paced environment.
REQUIREMENTS:
- 2–3 years of experience in risk management, operational risk, third-party risk, compliance, AML, financial crime, or related functions within financial services, fintech, brokerage, or another regulated industry
- Comfort working with international partners and reviewing diligence materials across different jurisdictions and regulatory environments
- Strong critical thinking skills with ability to identify anomalies, inconsistencies, gaps, and potential risk indicators
- Strong project management and prioritization skills; ability to manage multiple partner onboarding processes simultaneously
- Excellent written and verbal communication skills; ability to explain requirements clearly to external partners and internal stakeholders
- Ability to work effectively across Risk, Compliance, AML, Operations, Legal, Product, and Project Management teams
- Self-starter mindset with strong accountability, sound judgment, and ability to operate independently in a rapidly evolving environment
- Bachelor's degree in Finance, Business, Economics, Risk Management, Criminal Justice, International Relations, or related field
NICE TO HAVE:
- Familiarity with financial services regulatory expectations (BSA/AML, KYC, KYB, enhanced due diligence, third-party risk management)
- Experience supporting partner, vendor, or third-party onboarding in fintech, brokerage, payments, banking, or financial services
- Understanding of operational resilience, business continuity, cybersecurity, data protection, or outsourcing risk frameworks
- Experience reviewing policies and procedures related to AML, sanctions, customer onboarding, fraud, compliance, or operational controls
- Familiarity with broker-dealer, introducing broker, or embedded finance models
- Experience with case management, GRC, CRM, or project tracking tools
