Alpaca

Risk

• Conduct initial and ongoing risk assessments of partners, vendors, and third-party service providers.
• Review due diligence documentation, including financial, operational, and compliance materials.
• Monitor and update risk scores based on predefined criteria and emerging risks.
• Ensure compliance with CIP requirements during account opening and onboarding processes.
• Assist in designing and improving procedures for KYC and customer due diligence (DD).
• Collaborate with relevant teams to resolve CIP-related escalations.
• Act as a first responder to incidents and Sev escalations, including operational disruptions, and other risk-related events, and escalate as necessary to appropriate stakeholders.
• Support incident reporting, tracking, and escalation processes.
• Coordinate investigations of operational, compliance, or security incidents.
• Assist in conducting root cause analysis and implementing corrective and preventive actions.
• Support the development and maintenance of internal controls and risk mitigation strategies.
• Participate in risk assessments, audits, and regulatory reviews as needed.
• Assist with reporting risk metrics to senior leadership and relevant committees.
• Conduct internal controls testing to evaluate the effectiveness of existing operational processes and controls.
• Support ad-hoc risk management projects and initiatives as needed.

Risk Associate

Accountant

• Own multi-entity invoicing process; prepare and issue accurate customer invoices in line with contract terms
• Manage accounts receivable, including monitoring collections, applying payments, and resolving customer billing inquiries
• Ensure timely and accurate revenue recognition in accordance with ASC 606 and company policies
• Review and reconcile deferred revenue accounts and maintain supporting schedules
• Partner with Sales and Customer Success teams to review contracts and ensure billing and revenue treatment are compliant
• Assist in month-end close, including journal entries, reconciliations, and revenue reporting
• Support external audits by preparing revenue-related schedules and documentation
• Identify and implement process improvements to streamline invoicing, revenue, and AR workflows
• Assist with ad hoc projects and system implementations as needed
• Collaborate cross-functionally with Sales, Customer Success, and FP&A

Revenue Accountant

• Manage and coordinate global tax compliance, including U.S. federal, state, and foreign income tax filings (direct and indirect).
• Support tax planning initiatives, including entity structuring, intercompany arrangements, and expansion into new markets.
• Oversee and maintain transfer pricing policies and documentation across international entities.
• Assist with annual tax provision calculations under U.S. GAAP (ASC 740).
• Liaise with external advisors and auditors on tax matters, including audits, filings, and technical interpretations.
• Identify tax-saving opportunities and efficiency improvements aligned with the company's strategic goals.
• Monitor legislative and regulatory tax law developments and assess potential impacts on the business.
• Support M&A due diligence and integration efforts from a tax perspective as needed.
• Support annual Form 8802 application for Tax Residency Certificate (6166).
• Partner with finance, legal, and business operations teams to provide tax guidance on contracts, new products, and operational decisions.

Tax Manager

Financial Planning and Analysis

• Supervise, review, and file FOCUS reports (Form X-17A-5) with FINRA and the SEC
• Monitor net capital levels to ensure required minimums are maintained
• Ensure timely filing of financial statements and supplemental reports, including annual audited financials
• Oversee financial books and records, including general ledger, trial balance, and subsidiary ledgers
• Interpret and apply SEC and FINRA rules, particularly SEC Rule 15c3-1 and 15c3-3
• Ensure compliance with Rule 17a-3 and 17a-4 recordkeeping requirements
• Respond to regulatory inquiries and exams by FINRA, SEC, or other regulatory bodies
• Design and maintain internal controls to safeguard customer and firm assets
• Supervise systems to prevent and detect errors or fraud in financial reporting
• Supervise financial operations, reconciliations, and back office ledger entries
• Oversee clearing and settlement processes and monitor cash and securities movements
• Supervise margin calculations and manage related risk exposure
• Coordinate the annual independent audit and act as liaison to auditors, regulators, and clearing firms
• Advise management on capital adequacy, financing strategies, and financial impacts of new business initiatives

Financial Operations Principal

People Operations

• Prepare and file offer letters, ensuring a smooth and positive experience for new hires and supporting clean approvals.
• Maintain accurate and comprehensive employee files for compliance and easy access to information.
• Process and communicate various employee changes, ensuring accuracy and clear dissemination of information.
• Run and prepare comprehensive people reports, providing analytical insights to the team.
• Manage new hire administration including onboarding tasks, hosting new hire orientations, and meeting the founder.
• Provide recruiting support including posting jobs and delivering recruiting reporting updates.

People Operations Analyst

Director

• Escalation point on the Engineering side for high-severity incidents
• Monitor and optimize cloud spend and infrastructure costs, and manage vendor relationships
• Continuously scale and improve common infrastructure elements and platform services
• Lead and grow high-performing engineering teams responsible for cloud infrastructure, DevOps, site reliability and technical operations
• Oversee availability, capacity planning, and disaster recovery to ensure systems are resilient and fault-tolerant
• Collaborate with security and compliance teams to ensure adherence to regulatory requirements across infrastructure and operations
• Establish and monitor KPIs/SLAs for platform reliability, security, and performance
• Provide thought leadership on infrastructure strategy while being willing to dive deep into technical challenges when needed
• Improve developer experience through better tooling, workflows, and internal platforms that accelerate productivity and reduce friction
• Collaborate closely with product engineering teams, security, broker-dealer operations, and report directly to the CTO

Director, Platform and Infrastructure

Production Engineer

• Drive the evolution of Alpaca’s customer facing technical support, ensuring scalability and efficiency to deliver exceptional client service.
• Solve Complex L2 Escalations: Provide hands-on troubleshooting and resolution for critical technical issues, dedicating 50% of your time to direct customer problem-solving.
• Improve Support Process Efficiency: Audit escalation workflows and improve via code, tooling, and training to minimize L3 escalations.
• Drive Cross-Functional Root Cause Analysis: Collaborate with Support, Product, and Engineering to identify and resolve recurring issues, and ensure continuous product improvement.
• Develop and Maintain Comprehensive Technical Documentation: Create and manage internal knowledge bases, runbooks, and troubleshooting guides, contributing to public documentation as needed.
• Scale Technical Support: Lead the implementation of the technical support strategy to scale and deliver world-class client service.

Production Support Engineer

Project Manager

• As a Project Manager, you will be expected to leverage deep cross-functional expertise to coordinate with enterprise customers globally, guiding integrations from conception to launch by aligning technical teams, managing timelines, mitigating risks, and ensuring all deliverables meet strategic objectives in the following ways:
• Own end-to-end project management for enterprise launches using our brokerage APIs (equities, crypto, options, and more)
• Collaborate with external stakeholders (product, engineering, compliance teams, etc.) to scope, plan, and execute integration timelines
• Work cross-functionally with internal teams (BD, engineering, legal, compliance, operations and customer success) to resolve issues and align on resources
• Facilitate weekly partner check-ins, drive action items, and ensure progress toward key deliverables
• Track and report on project status, risks, and dependencies to internal leadership and partner stakeholders
• Help partners navigate onboarding requirements, such as KYC, AML and regulatory disclosures
• Document processes and continuously improve onboarding frameworks to scale future partner integrations
• Internally, the Project Manager is a key person to give the best context of a partner to many teams, including leadership. Simply put, the Project Manager is the voice of the customer internally at Alpaca.
• As a project manager in a highly collaborative role, the ideal candidate must demonstrate a strong communication, troubleshooting, solutioning and proactiveness skillset.

Financial Crime

• 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