The Head of Compliance will lead all compliance, AML/CFT, and regulatory governance functions for Alpaca Singapore, serving as the Primary Compliance Officer and key liaison with the Monetary Authority of Singapore (MAS). This senior leadership role ensures Alpaca’s operations comply with MAS regulations, licensing obligations, and internal governance standards within a technology-driven brokerage environment.
What You'll Do
- Serve as the Primary Compliance Officer for Alpaca Singapore, ensuring ongoing adherence to MAS regulations, licensing obligations, and relevant notices and guidelines (e.g., SFA, FAA, AML/CFT Notices, Outsourcing).
- Maintain a comprehensive compliance framework and compliance monitoring plan tailored to Alpaca’s brokerage and technology-driven business model.
- Interpret new and evolving regulatory requirements, assess impact on business operations, and lead timely implementation across teams.
- Prepare, review, and submit all regulatory filings, notifications, returns, and responses to MAS.
- Act as the key point of contact for MAS on compliance matters, including inspections, thematic reviews, queries, and follow-ups.
- Serve as AML Officer and MLRO.
- Oversee the end-to-end AML/CFT program, including customer onboarding, KYC, CDD/EDD, ongoing monitoring, transaction surveillance, suspicious transaction reporting (STRs), and sanctions screening.
- Maintain policies and procedures in line with MAS AML/CFT requirements and evolving global regulatory expectations.
- Ensure effectiveness of surveillance systems, suspicious activity escalation processes, and training programs.
- Provide timely reporting to MAS, senior management, and the board on AML/CFT matters.
- Develop and maintain compliance policies, procedures, and internal controls tailored to Alpaca’s brokerage and platform business.
- Establish governance structures, reporting lines, advisory processes, and escalation channels for regulatory, conduct, and operational compliance issues.
- Oversee compliance training programs for Singapore staff and relevant HQ functions supporting local operations.
- Support new product and business initiatives by providing compliance risk assessments and regulatory guidance.
- Lead internal compliance reviews, thematic assessments, and remediation of control gaps.
- Partner closely with Product, Engineering, Legal, Technology Risk, Operations, and global teams to ensure regulatory compliance is embedded throughout the business.
- Provide second-line oversight of operational, conduct, and technology risks relevant to the SG entity.
- Support incident management processes, ensuring compliance with regulatory reporting timelines and expectations.
- Contribute to board and management committee reporting, ensuring transparency of compliance risks and controls.
What We're Looking For
- Deep experience in Singapore’s securities and brokerage regulatory landscape
- Excellent risk judgment
- Strong cross-functional partnership skills
- Experience serving as a Primary Compliance Officer and liaison with the Monetary Authority of Singapore (MAS)
- Proven ability to maintain a comprehensive compliance framework and monitoring plan
- Demonstrated success interpreting and implementing MAS regulations (e.g., SFA, FAA, AML/CFT Notices, Outsourcing)
- Experience preparing, reviewing, and submitting regulatory filings and responses to MAS
- Experience serving as AML Officer and MLRO
- Direct oversight of AML/CFT programs including KYC, CDD/EDD, transaction surveillance, STRs, and sanctions screening
- Development and maintenance of compliance policies, procedures, and internal controls
- Establishment of governance structures, reporting lines, and escalation channels for compliance issues
- Provision of compliance risk assessments and regulatory guidance for new products and business initiatives
- Leadership of internal compliance reviews and remediation of control gaps
- Second-line oversight of operational, conduct, and technology risks
Team & Environment
Alpaca has a 230+ person globally distributed team. The role reports to a senior leader not specified in detail, and works within a collaborative, open-source-oriented culture that values curiosity, empathy, and accountability.
Benefits & Compensation
- 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
Compensation includes a competitive salary and stock options, with a monthly stipend of $150 via Brex Card.
Work Mode
Teammates work from favorite places around the world. Alpaca operates as a global team with presence in USA, Canada, Japan, Hungary, Nigeria, Brazil, UK, and Singapore.
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
