Alpaca · 15 hours ago
Director of Compliance
United States
Full-time
Remote
Senior Level, Lead/Staff
10+ years expAlpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure company. They are seeking a Director of Compliance to support the Firm’s compliance program, ensuring alignment and effective execution of compliance initiatives across business lines.
Developer APIsFinancial ServicesFinTechTrading Platform
Responsibilities
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
Assist in the preparation and submission of required regulatory filings and reports
Experience with new product launches and ongoing product governance
Qualification
Required
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; additional licenses and designations are a plus
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