合规经理
Senior Manager of Compliance
我们是谁：
Alpaca 是一家总部位于美国的全球领先代理优先经纪基础设施公司，提供股票、ETF、期权、加密货币、固定收益、24/5小时交易等服务。
在我们的子公司中，Alpaca 是一家获得许可的金融服务公司，通过我们机构级 API 为全球 40 个国家的数百家金融机构提供服务。这包括经纪自营商、投资顾问、财富管理公司、对冲基金和加密货币交易所，总计超过 1000 万笔经纪账户。
我们的全球团队由经验丰富的工程师、交易员和经纪专业人士组成，他们致力于实现我们让地球上每个人都能享受金融服务的使命。我们高度重视开源贡献，积极培育活跃的社区，持续提升我们获奖的、开发者友好的 API 及其背后的强大基础设施。
Alpaca 获得了来自顶级全球投资者的 4 亿美元资金支持，包括 Portage Ventures、Spark Capital、Tribe Capital、Social Leverage、Horizons Ventures、Opera Tech Ventures、SBI Group、Derayah Financial、Unbound、Peak XV、Elefund 和 Y Combinator。
我们的团队成员：
我们是一个由 400 多名分布在世界各地的成员组成的充满活力的团队，大家在世界各个最喜欢的地方工作，团队成员遍布美国、加拿大、日本、匈牙利、尼日利亚、巴西、英国等地！
我们正在寻找渴望为 Alpaca 的快速发展做出贡献的热情人士。如果你认同我们的核心价值观——保持好奇、富有同理心、勇于承担责任，并准备好产生重大影响，我们鼓励你申请。
你的角色：
合规高级经理向首席合规官汇报，负责公司合规计划的所有方面。该职位需要与各业务线和职能部门密切合作，确保合规计划的一致性和有效执行。理想的候选人应积极主动、高度有条理，并能够管理多个解决方案并维护良好的利益相关者关系。
你将从事的工作：
- 运用对 FINRA 规则和法规的实际知识，确保公司在整个机构内的合规监督。
- 与业务部门合作，了解工作流程，监控控制措施，并实施合规流程改进。
- 撰写、更新和维护合规政策和监督程序。
- 审查广告、营销和电子通讯内容，确保符合监管要求。
- 支持监管检查
查看英文原文
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.
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!
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.
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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