Alpaca

VP of Global AML and Sanctions Compliance

Alpaca

full-time

Posted on:

Origin:  • 🇺🇸 United States

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Job Level

Lead

Tech Stack

Spark

About the role

  • Lead the development and implementation of Alpaca’s global AML and sanctions programs, ensuring consistency and effectiveness across U.S. and non-U.S. entities
  • Design and maintain global AML/CFT and sanctions policies in line with evolving regulatory expectations and internal risk appetite
  • Conduct and update firm-wide AML risk assessments, advise on control design, and drive continuous program improvement
  • Support AML and sanctions components of global licensing applications and regulatory filings
  • Serve as Alpaca’s global lead for AML matters, including direct engagement with U.S. regulators (SEC, FINRA, FinCEN, OFAC, SCB) and coordination with local AMLCOs for other jurisdictions
  • Manage regulatory exams, internal audits, and third-party reviews, including preparation, coordination, and remediation
  • Participate in internal governance forums and provide reporting and updates on AML-related risks to senior management and risk committees
  • Oversee timely and accurate suspicious activity reporting and sanctions screening programs
  • Directly manage regional AML compliance officers and provide leadership across all jurisdictions in which Alpaca operates
  • Support hiring, mentoring, and performance management for AML staff globally
  • Align regional teams with a centralized AML strategy while enabling jurisdiction-specific implementation as needed
  • Promote a culture of compliance, accountability, and collaboration across functions
  • Partner with engineering, product, and data teams to implement scalable AML solutions, including transaction monitoring, case management, and sanctions tools
  • Champion a data-centric approach to compliance, using analytics to identify trends, monitor effectiveness, and improve operational processes
  • Evaluate and, where appropriate, implement AI/ML tools to enhance detection capabilities, reduce false positives, and optimize case reviews
  • Establish and maintain dashboards and KPIs to track AML performance and risk exposure

Requirements

  • 10+ years of AML and financial crime compliance experience, with significant exposure to U.S. regulatory frameworks (BSA, USA PATRIOT Act, OFAC), and global regimes (FATF, EU AMLD, FINTRAC, MAS)
  • Demonstrated experience engaging with U.S. regulators, including SEC, FINRA, FinCEN, and OFAC, particularly in the context of broker-dealers and securities businesses
  • Knowledge of Cross-Border transaction monitoring and reporting to ensure adherence with the Bank Secrecy Act and other international standards
  • Must be able to implement a risk assessment standard program for the company to align with relevant regulations and vulnerabilities
  • Proven leadership managing regional AML teams with a global oversight scope
  • Deep expertise in AML risk frameworks, including customer due diligence, transaction monitoring, sanctions screening, and suspicious activity reporting
  • CAMS or CFE certification required; Master’s degree in Law, Finance, or related field preferred
  • Strong communication and presentation skills, with experience advising senior leadership and engaging with external stakeholders such as law enforcement and regulators
  • Experience with fintech, brokerage, crypto, or API-driven platform
  • Data-driven mindset; experience implementing analytics or AI/ML solutions to support compliance operations is a strong plus