Alpaca · 6 hours ago
AML Compliance Manager – Securities + Crypto
United States
Full-time
Remote
Senior Level
5+ years expAlpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for various financial instruments. As the AML Compliance Manager, you will lead investigations, ensure regulatory compliance, and enhance the firm's AML and fraud monitoring initiatives across both Securities and Crypto entities.
Developer APIsFinancial ServicesFinTechTrading Platform
Responsibilities
Partner with the AMLCO (and/or CCO) to maintain, enhance, and operationalize the firm’s CIP/KYC, AML, Anti-Fraud, and Fraud Monitoring initiatives across both the firm’s Securities and Crypto entities
Lead and maintain periodic firm-wide risk assessments covering BSA/AML, sanctions, fraud, and surveillance programs
Oversee transaction monitoring systems, blockchain analytics tools, and case management workflows
Conduct in-depth investigations into potential suspicious activity across crypto, equities, and other financial instruments, including market manipulation, fraud, account takeovers, money laundering typologies, and other financial crimes through transaction monitoring alerts, escalations, and referrals
Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies
Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries
Partner with internal stakeholders and assist during external audits, examinations, and regulatory inquiries and engagements
Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols
Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms
Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors
Stay current on evolving regulatory requirements and industry best practices, with a focus on the Bank Secrecy Act, the USA PATRIOT Act, OFAC sanctions programs, MSB AML Regulations and applicable federal and state laws, rules and regulatory expectations, and proactively assess their impact on the firm’s business and compliance programs
Qualification
Required
5–8+ years AML, fraud, or financial crime investigations experience at FINRA broker-dealer and/or crypto MSB
Strong understanding of BSA/AML, USA PATRIOT Act, OFAC, FinCEN MSB requirements, and FINRA/SEC rules
Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity
Experience with transaction monitoring systems, case management tools, open-source intelligence (OSINT) research and investigations and blockchain analytics
Strong analytical, documentation, and SAR-writing skills
Effective communication and problem-solving abilities
Proficient in Google Sheets or MS Excel, including pivot tables and advanced filtering
Working knowledge of domestic and international payment rails
FINRA Series 7 license (or willingness to obtain within six months of hire)
Ability to work independently and collaborate across functional teams in a remote setting
Benefits
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
Company
Alpaca
Alpaca is a financial system platform that allows developers and businesses to build apps, embed investing, and trade algorithms.
201-500 employees
Funding
Current Stage
Late StageTotal Funding
$328.8MKey Investors
Drive CapitalSBI GroupPortage Ventures
2026-01-14Series D· $150M
2026-01-14Debt Financing· $40M
2025-04-23Series C· $52M
Leadership Team
Yoshi Yokokawa
Co-Founder and CEO
Hitoshi Harada
CPO and Co-Founder
Recent News
Morningstar.com
2026-01-07
Company data provided by crunchbase