About the company
Who We Are: Alpaca is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more, and has raised over $170 million in funding. Amongst our subsidiaries, Alpaca is a licensed financial services company in multiple countries, and we serve hundreds of financial institutions globally such as broker-dealers, investment advisors, hedge funds, and crypto exchanges as well as millions of individual customers all over the world. Alpacaās globally distributed team members bring in diverse experiences such as engineers, traders, and brokerage professionals to achieve our Mission of opening financial services to everyone on the planet. We are also deeply committed to open-source contributions and fostering a vibrant community. We will continue to enhance and improve our award-winning developer-friendly API and the brokerage infrastructure behind it.
Job Summary
Things You Get To Do:
šDeveloping, maintaining and adapting Key Risk Indicators (KRIs) as the business evolves and scales šPerforming independent reviews and stress testing šDesigning policies and control frameworks šAssessing new products or business changes šProviding 2nd line of defence challenge to front-office risk management šIdentify and manage risks to the organization, its employees, stakeholders, assets, and operations, and develop risk management strategies, objectives, and policies that establish the framework, tools, and procedures to achieve successful risk identification and management within best practice standards. šBe the primary owner for Risk and Control Self-Assessment (RCSA) and internal testing program. šBe the primary owner for due diligence related to onboarding and offboarding of correspondents/partner firms.
Who You Are (Must-Haves):
šBachelor's degree or Associateās degree in Law, Finance, Business or related discipline or the equivalent combination of experience and education. š8+ years of experience with a regulator or at a broker-dealer in the financial services industry. šFINRA Series 7 and 24 (an ability to get Series 4 within 3 months from start date) šWorking knowledge of investment products and services offered by a broker-dealer and the related SEC and FINRA rules and regulations.
The future of finance is here ā whether youāre interested in blockchain, cryptocurrency, or remote web3 jobs, thereās a perfect role waiting for you.
