The vacancy is well-detailed with clear responsibilities and compensation, but could improve on operational detail and company links.
Job description
Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series D funding round brought our total investment to over $320 million, fueling our ambitious vision.
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, totaling over 9 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 top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.
Responsibilities
- Design, implement, and maintain the Ops Control framework across back-office operations.
- Oversee ICOC review design, testing, and documentation.
- Independently verify and resolve operational issues within defined timeframes.
- Maintain a centralized controls inventory and monitoring hub.
- Conduct thematic reviews to identify systemic control weaknesses.
- Lead Ops Control exam preparedness for audits and examinations.
- Partner with Product and Engineering to incorporate operational control considerations.
- Drive automation and use of advanced tooling to improve control effectiveness.
Requirements
- 7+ years of experience in clearing broker-dealer back-office operations or related control functions.
- Leadership experience in Ops Control, Clearing Operations, or Financial Control.
- Hands-on knowledge of SEA Rules 15c3-1 and 15c3-3, margin and rehypothecation rules, FINRA Uniform Practice Code.
- Proven ability to identify, test, and challenge operational controls.
- Experience supporting FINRA and SEC examinations.
- Clear communicator able to summarize findings for stakeholders.
- Comfortable operating independently in a fast-paced environment.
Conditions
- 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
About Alpaca
Alpaca is a global leader in brokerage infrastructure APIs, providing access to stocks, ETFs, options, fixed income, and crypto, along with embeddable finance solutions like tokenization and securities lending. It serves retail traders, institutional investors, app developers, and fintech companies worldwide through its API-first platform. The company, originally started in 2015 as a database and machine learning firm, is headquartered in San Mateo, California.