Director of Compliance

Remote - AmericasRemotePosted 10 days ago

Role Overview

Alpaca is hiring a Director of Compliance. This is a full-time remote role, with the team based in Remote - Americas. posted last week. Full responsibilities, required qualifications, and the apply link are listed in the description below.

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Job description

Who We Are:

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, totalling 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.

Our Team Members:

We're a dynamic team of 380+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!

We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.

Your Role:

The Director of Compliance reports to the Chief Compliance Officer and supports all aspects of the Firm’s compliance program. This role works closely across business lines and functions to ensure alignment and effective execution of compliance initiatives. The ideal candidate is proactive, highly organized, and able to manage multiple solutions and maintain strong stakeholder relationships.

Things You Get To Do:

Apply practical knowledge of FINRA rules and regulations to ensure compliance oversight across the firm.
Partner with business units to understand workflows, monitor controls, and implement compliance process improvements.
Draft, update, and maintain compliance policies and supervisory procedures.
Review advertising, marketing, and electronic communications for regulatory compliance.
Support regulatory examinations, inquiries, and requests, including gathering data, preparing documentation, and coordinating responses.
Assist in the preparation and submission of required regulatory filings and reports.
Assist with branch inspections and supervisory reviews, track findings, and follow up with business leads.
Assist in the preparation and submission of required regulatory filings and reports.
Experience with new product launches and ongoing product governance.

Who You Are (Must-Haves):

At least 10 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.
High ethical standards and a commitment to maintaining confidentiality.
Bachelor's degree in Finance, Business, Law, or a related field.
Required FINRA licenses: Series 7, 24; additional licenses and designations are a plus.

How We Take Care of You:

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

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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About Alpaca

Alpaca

alpaca.com

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Frequently Asked Questions

How do I apply for the Director of Compliance position at Alpaca?

Use the Apply button above to submit your application directly to Alpaca. Most applications take less than 5 minutes if your resume and contact details are ready, and you'll be routed to the employer's official application system to finish.

Is the Director of Compliance role at Alpaca remote?

Yes. This is a remote role. The team is based in Remote - Americas, but the position itself does not require relocating to that office.

What does a Director of Compliance at Alpaca earn?

Alpaca has not disclosed a salary range in this posting. Many employers share specifics later in the interview process; you can also ask during a recruiter screen if compensation transparency is important to you.

When was the Director of Compliance role at Alpaca posted?

This role was posted on July 3, 2026 (10 days ago). It's still listed as actively hiring; we re-confirm openings against the source system multiple times per day and remove closed roles.

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