Alpaca is looking for a Director of Compliance to support all aspects of the firm’s compliance program. Reporting to the Chief Compliance Officer, you will work closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. Our mission is opening financial services to everyone on the planet.

What You'll 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.
Gain experience with new product launches and ongoing product governance.

What We're Looking For

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.