Senior Compliance Manager | FINRA/SEC Expert & Policy Lead

Alpaca; Chicago (IL); On-site; USD 180,000 - 240,000; Full time

Benefits offered by this job

Competitive Salary & Stock Options

Health Benefits

New Hire Home-Office Setup: USD 500

Monthly Stipend: USD 150 per month via

Job summary

Alpaca seeks a Senior Manager of Compliance to lead firm-wide regulatory adherence and governance. You will partner with multiple business lines to ensure robust controls, prepare documentation, and respond to regulatory inquiries with accuracy and urgency.

The role requires deep knowledge of US securities regulations, strong writing skills, and the ability to operate in a fast-paced, global environment. Chicago-based, with competitive compensation and stock options.

Qualifications

• 7+ years of compliance experience in FINRA/SEC/OCC contexts, preferably broker-dealer.
• Strong knowledge of US securities rules, licenses and registrations.
• Excellent written communication for regulatory docs and policies.

Responsibilities

• Oversee regulatory compliance across the firm with FINRA rules expertise.
• Collaborate with business units to map workflows and improve controls.
• Draft and maintain policies, procedures, and regulatory filings.
• Review advertising and communications for regulatory fit.
• Coordinate regulatory examinations and data submissions.
• Support new product launches with governance and oversight.

Skills

FINRA/SEC compliance

Regulatory reporting

Stakeholder management

Written communication

Independent worker

Education

Bachelor's degree in Finance/Business/Law

Tools

Compliance software

Job description

Alpaca seeks a Senior Manager of Compliance to lead firm-wide regulatory adherence and governance. You will partner with multiple business lines to ensure robust controls, prepare documentation, and respond to regulatory inquiries with accuracy and urgency.

The role requires deep knowledge of US securities regulations, strong writing skills, and the ability to operate in a fast-paced, global environment. Chicago-based, with competitive compensation and stock options.