HHiring Reality
← Alpaca

Senior Manager of Compliance

Alpaca
Location
Remote - Americas
Posted
20 days ago
Department
Compliance
What they actually want (must-haves)
  • At least 7 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.
What the job really is

The Senior Manager of Compliance at Alpaca will oversee the firm's compliance program, ensuring adherence to FINRA and SEC regulations. This role involves collaborating with various business units to enhance compliance processes, drafting and maintaining policies, and supporting regulatory examinations and filings. The ideal candidate will manage multiple compliance initiatives while fostering strong relationships across the organization.

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
Things to weigh
  • No specific salary range provided.
  • The role requires a proactive approach and the ability to manage multiple initiatives in a fast-paced environment, which may be challenging for some candidates.
Job score2.8/5
Benefits2/5
Freshness4/5
Career value4/5
Role clarity4/5
Pay transparency0/5

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