Chief Compliance Officer, Broker-Dealer Clearing Operations

  Your Role:   You are an experienced Chief Compliance Officer (CCO) who brings broker-dealer clearing operations experience to understand activities of financial services entities including multiple regulated entities. While working with leadership & senior management you will focus on regulatory compliance and clearing operations for Alpaca Securities LLC. The Broker-Dealer Clearing Operations team is 100% distributed and remote.  This role will be reporting directly to the President, Alpaca Securities LLC.   Things You Get to Do: Responsible for managing the regulatory compliance program for the clearing operations of Alpaca Securities LLC, a FINRA regulated Broker Dealer. Oversee regulatory adherence within clearing operations for Alpaca Securities LLC as well as be the point of contact for certain regulatory exams and inquiries. Play a key leadership role to establish a culture of compliance within the organization, and ensure employees adhere to policies and procedures designed to mitigate regulatory risk to the firm. Build and oversee compliance reviews within each area to ensure policies and procedures are up to date with current regulatory guidance and notices. Clearly communicate with internal and external partners in an effective, tactical, and insightful manner. Support the firm’s AML and CIP program and continue to build the compliance team to support hypergrowth.   Who You Are (Must-haves): Excited about what Alpaca is building! Bachelor's degree and/or equivalent financial industry experience 10+ years relevant experience in a broker-dealer, financial services, and clearing firm compliance leadership roles Familiarity with all aspects of Broker Dealer rules and regulations including but not limited to FINRA, SEC, FinCen, and Federal Regulation Reporting and Tools to track and mitigate regulatory risks Strong attention to detail, and problem-solving skills with the ability to thrive in a fast-paced environment Enjoys challenges and taking ownership of new responsibilities Inspired by Alpaca’s mission and enthusiastic about supporting our customer base and growing the platform Must hold a Series 7 and 24 Knowledge of rules and regulations governing Broker-Dealers Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, PowerPoint) and database query skills Ability to build a remote team and foster partnerships across the organization   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.  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.