COMPLIANCE ANALYST | REMOTE

The Compliance Analyst will report to the Compliance Director - Brokerage Operations. Primary responsibilities will include the review and Compliance oversight of the Operations Department. The Candidate will need to develop and ensure that appropriate internal controls are in place for proper reporting and to reduce risk points in this space.

• Possess a strong understanding of the US Securities Industry, and in particular Engage with and review the compliance program activities and controls for appropriate design, operating effectiveness, accuracy and completeness

• Provide support with testing engagements and internal and external audits

• Provide oversight and challenge to control executive (e.g. first line of defense) activities including RCSA activities

• Assist the Compliance Director in designing and developing compliance policies and procedures, as well as process and control activities

• Ensure identified compliance issues are escalated, addressed and validated in accordance with corporate policies

• Participate in compliance projects as needed including working with compliance and business management to facilitate the distribution and disposition of major requirements, and conducting targeted compliance reviews and projects.

• The Candidate must have their Series 7 and 24 examinations or the ability to get these designations within six months.

• Preferred candidates will have Series 99 and other licenses.

• 3-5 years Compliance or Audit experience; direct Brokerage Operations experience preferred

• Self-motivated and an ability to work independently

• Strong Analytical Background

Alpaca is a fast-growing FinTech API startup backed by a group of prominent investors including Spark, Portage, Social Leverage, Tribe, Horizons, Eldridge, Positive Sum, Elefund, and Y Combinator, and highly experienced industry angel investors. Alpaca has raised a total of $70+ million to date.

Alpaca builds an API-first stock and crypto brokerage platform that developers and businesses embed investing, build apps, algorithmically trade with. Of course, we are very enthusiastic about open source contribution and community building!