Alpaca

Director of Compliance

Alpaca

full-time

Posted on:

Location Type: Remote

Location: United States

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Job Level

Lead

About the role

  • 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.

Requirements

  • At least 10 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.
Benefits
  • 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
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
FINRA rulesSEC regulationsOCC regulationscompliance policiesregulatory filingsregulatory compliancecompliance process improvementsadvertising complianceproduct governancebranch inspections
Soft Skills
strong written communicationindependent workactionable compliance workability to operate in fast-paced environmenthigh ethical standardscommitment to confidentiality
Certifications
Series 7Series 24Bachelor's degree in FinanceBachelor's degree in BusinessBachelor's degree in Law