Senior Compliance Leader – FINRA/SEC Expert

Alpaca; Northern (KY); Hybrid; USD 110,000 - 150,000; Full time

Benefits offered by this job

Stock options

Home-office setup

Monthly stipend

Job summary

Alpaca, a US-headquartered leader in brokerage infrastructure, seeks a Senior Compliance Manager to enhance the firm’s compliance program across FINRA, SEC, and OCC domains. You will collaborate with multiple business lines to ensure regulatory alignment and effective governance. The ideal candidate has 7+ years of experience, strong regulatory drafting skills, and fluency with U.S.

securities rules. A bachelor’s in Finance, Business or Law is required, with licenses such as Series 7 and 24

Qualifications

• 7+ years of compliance experience across FINRA, SEC, and OCC jurisdictions.
• Knowledge of U.S. securities regulations and licensing obligations.
• Strong written communication for regulatory docs and policies.
• Ability to work independently in a fast-paced global environment.

Responsibilities

• Apply knowledge of FINRA rules to ensure firm-wide compliance oversight.
• Partner with business units to monitor workflows and improve controls.
• Draft, update, and maintain compliance policies and procedures.
• Review advertising and electronic communications for regulatory compliance.

Skills

FINRA experience

SEC/OCC regulations

Regulatory drafting

Independent worker

Communication skills

Education

Bachelor's degree in Finance/Business/Law

Tools

GRC software

Job description

Alpaca, a US-headquartered leader in brokerage infrastructure, seeks a Senior Compliance Manager to enhance the firm’s compliance program across FINRA, SEC, and OCC domains. You will collaborate with multiple business lines to ensure regulatory alignment and effective governance. The ideal candidate has 7+ years of experience, strong regulatory drafting skills, and fluency with U.S.

securities rules. A bachelor’s in Finance, Business or Law is required, with licenses such as Series 7 and 24