Director of Compliance
Alpaca (9 days ago)
About this role
The Director of Compliance at Alpaca reports to the Chief Compliance Officer and supports the firm’s overall compliance program, working across business lines to ensure regulatory alignment and execution. The role operates within a global brokerage infrastructure and focuses on maintaining robust compliance controls and stakeholder relationships. The ideal candidate is proactive, highly organized, and able to manage multiple initiatives in a fast-paced environment.
Required Skills
- FINRA Rules
- SEC Rules
- OCC Rules
- Regulatory Compliance
- Policy Drafting
- Supervision
- Electronic Communications
- Regulatory Filings
- Product Governance
- Compliance Software
+1 more
Qualifications
- Bachelor's Degree
- Series 7
- Series 24
About Alpaca
alpaca.marketsAlpaca is a developer-first brokerage platform that provides APIs and tools to build, automate, and embed investing and algorithmic trading for stocks, options, and crypto. It offers REST and streaming market data, trade execution, paper trading, and broker services (including omnibus/sub-accounting features) for managing client accounts. Developers and businesses use Alpaca’s clean APIs, SDKs, and webhooks to integrate trading into apps, run automated strategies, and manage portfolios programmatically. The platform focuses on programmability, low-latency execution, and infrastructure for both retail and institutional use.