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Join Alpaca as a Senior Manager in Operations Control, overseeing back-office operations and ensuring compliance with regulatory requirements. Remote position in the Americas with a competitive salary.
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.
- 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.
- 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.
- 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