Senior Manager of Compliance

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

Who We Are:

Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 10 million brokerage accounts. Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it. Alpaca is proudly backed by $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator. We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values - Stay Curious, Have Empathy, and Be Accountable - and are ready to make a significant impact, we encourage you to apply.

Our Team Members:

We're a dynamic team of 400+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!

Your Role:

The Senior Manager of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm's compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships.

Things You Get To Do:

• 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.

Who You Are (Must-Haves):

• At least 7 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.

How We Take Care of You:

• 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

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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