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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 $400M in funding from top-tier investors including Spark Capital and Y Combinator, Alpaca operates a globally distributed team of 400+ members.
The Senior Manager of Compliance reports to the Chief Compliance Officer and plays a central role in supporting all aspects of the firm's compliance program. This role works cross-functionally across business lines to ensure alignment and effective execution of compliance initiatives.
Key responsibilities include: applying practical knowledge of FINRA rules and regulations to ensure compliance oversight; partnering with business units to understand workflows, monitor controls, and implement process improvements; drafting, updating, and maintaining compliance policies and supervisory procedures; reviewing advertising, marketing, and electronic communications for regulatory compliance; supporting regulatory examinations and inquiries by gathering data and coordinating responses; assisting with regulatory filings and reports; conducting branch inspections and supervisory reviews; and supporting new product launches and product governance.
The ideal candidate brings at least 7 years of experience managing compliance matters within FINRA, SEC, and OCC jurisdictions, preferably in broker-dealer and clearing firm environments. Required qualifications include deep knowledge of U.S. securities regulations, strong written communication skills for regulatory documentation, proven ability to work independently and produce actionable compliance work, and proficiency with compliance software tools. Series 7 and Series 24 FINRA licenses are required; additional licenses are a plus. A bachelor's degree in Finance, Business, Law, or related field is required. The role demands high ethical standards, ability to operate in fast-paced global environments with evolving regulatory requirements, and strong stakeholder management skills.
