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.Alpaca’s 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 infrastructure behind it.
Our Team Members:
We’re a team of 150+ globally distributed members who love working from our favorite places worldwide. Our team spans the USA, Canada, Japan, Hungary, Nigeria, Brazil, the United Kingdom, and more!We’re looking for candidates eager to join Alpaca’s growing organization, who are excited about our Mission of “Open financial services to everyone on the planet and share our Values of “Stay Curious,” “Have Empathy,” and “Be Accountable.”
Your Role:
We are seeking an experienced and highly skilled Chief Compliance Officer (CCO) to play a foundational role in the creation and registration of a new CIRO Dealer Member acting as a registered introducing/carrying broker. This position is critical to the firm’s application process with regulatory authorities and will help establish the operational and compliance framework needed for success. The CCO will work closely with the President/CEO to build out the team, policies, and procedures required to operate the broker-dealer and ensure full compliance with regulatory requirements.
What You’ll Be Doing (Key Responsibilities):
- Broker-Dealer Application: Lead compliance efforts for the firm’s CIRO Investment Dealer application, ensuring all regulatory requirements are met.
- Daily Responsibilities: Responsible for day-to-day activities up to and including: responses to customers and regulatory inquiries, review and approval of incoming and outgoing correspondence, review and approvals for marketing material, any required regulatory filings (daily, weekly, monthly, etc.)
- Regulatory Compliance Management: Identify relevant regulatory requirements, monitor compliance, and deploy necessary changes in partnership with internal and external stakeholders.
- Regulatory Engagement: Manage communications with CIRO, OSC, FINTRAC, and other regulators, including notifications, comment letters, and handling day-to-day interactions.
- Policy Development: Create policies and procedures to ensure the business is properly supervised and managed. Maintain a complete record of all documentation as prescribed by regulation, and update as needed based upon business and regulatory changes.
- Training Deployment: Oversee compliance training programs for employees, ensuring they are well-informed of regulatory obligations.
- Reporting and Escalation: Provide regular updates to senior management regarding compliance activities, risks, and incidents. Escalate material issues appropriately.
- Team Building: Partner with the President/CEO to recruit and develop a high-performing team.
- Strategic Leadership: Manage and develop global relationships with key stakeholders to ensure a consistent and integrated compliance approach.
- Projects: Collaborate and support the firm’s teams to integrate new initiatives, regulatory obligations needs, and any other assignments as assigned by the President/CEO.
What We Look For in You (Job Requirements):
- Minimum 5+ years of compliance experience, including senior leadership roles.
- Completion of the CSI Partners, Directors and Senior Officers Qualification Examination (“PDO”) and Chief Compliance Officer Qualifying Examination (“CCO”).
- Bachelor’s degree in finance, business, law, or equivalent work related field (preferred).
- Direct, in-depth knowledge of Canadian Securities Regulation and Financial Crime Regulation.
- Proven experience in managing regulatory applications, particularly with CIRO, OSC, and FINTRAC.
- Strong track record of developing and administering internal controls, with the ability to manage audits and exams independently.
- Experience collaborating with remote, global teams to achieve compliance objectives.
- Strong written and verbal communication skills for effectively engaging diverse stakeholders.
- Demonstrated ability to navigate complex regulatory environments and proactively identify compliance solutions.
- High ethical standards and a commitment to maintaining confidentiality.
Nice to Haves:
- At least 2-3 years of experience in brokerage operations, clearing, or a related field.
- Professional compliance or related qualifications, and membership of a recognized professional body.
Why Join Us:
At Alpaca, we offer a collaborative and supportive work environment where you can contribute to shaping our compliance culture and furthering our commitment to regulatory excellence. You will have the opportunity to work closely with experienced professionals in the financial industry and grow your skills in a challenging yet rewarding role.If you are a dedicated compliance professional looking to make a meaningful impact, we encourage you to apply and become part of our team.
How We Take Care of You:
- Competitive Salary & Stock Options
- Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care. In Japan, you are offered local benefits. Internationally, this includes a stipend value to offset medical costs.
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
- Work with awesome hard working people, super smart and cool clients and innovative partners from around the world
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.Recruitment Privacy Policy
