Senior Compliance Manager - FINRA/SEC Pro | Stock Options

Alpaca; Austin (TX); On-site; USD 150,000 - 210,000; Full time

Benefits offered by this job

Stock options

Health benefits

Home-office setup (USD 500)

Job summary

Alpaca seeks a Senior Manager of Compliance to oversee firm-wide regulatory adherence in a fast-growing financial services environment. You will partner with multiple business units to ensure controls, ethics, and governance align with FINRA/SEC/OCC standards, while handling examinations, filings, and policy updates.

The role requires deep regulatory knowledge, strong communication, and the ability to drive compliant outcomes across a global company. Competitive salary and stock options offered.

Qualifications

• Must have 7+ years leading compliance within FINRA/SEC/OCC jurisdictions.
• Deep knowledge of U.S. securities regulations and licensing obligations.
• Strong written communication for regulatory documentation and policies.
• Ability to work independently and deliver actionable compliance work.
• Experience with fast-paced, global regulatory environments.

Responsibilities

• Apply FINRA rules and regulations to ensure firm-wide compliance oversight.
• Partner with business units to map workflows and strengthen controls.
• Draft, update, and maintain compliance policies and procedures.
• Review advertising and communications for regulatory compliance.
• Support regulatory examinations, inquiries, and data gathering.
• Assist with regulatory filings and reporting submissions.
• Participate in branch inspections and supervisory reviews.
• Support product governance for new launches.

Skills

FINRA rules

SEC/OCC regulations

Policy writing

Regulatory examinations

Stakeholder management

Licensing (Series 7/24)

Compliance software

Confidentiality

Education

Bachelor's degree in Finance/Business/Law

Tools

Compliance software

Job description

Alpaca seeks a Senior Manager of Compliance to oversee firm-wide regulatory adherence in a fast-growing financial services environment. You will partner with multiple business units to ensure controls, ethics, and governance align with FINRA/SEC/OCC standards, while handling examinations, filings, and policy updates.

The role requires deep regulatory knowledge, strong communication, and the ability to drive compliant outcomes across a global company. Competitive salary and stock options offered.