Director of Risk

Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. We're searching for a Director of Risk Oversight to develop and drive processes for oversight and quality control of all brokerage operations functions.

Requirements

• Bachelor's degree or Associate’s degree in Law, Finance, Business or related discipline or the equivalent combination of experience and education.
• 5+ years of experience with a regulator or at a broker-dealer in the financial services industry.
• FINRA Series 7 and 24 (an ability to get Series 4 within 3 months from start date)
• Working knowledge of investment products and services offered by a broker-dealer and the related SEC and FINRA rules and regulations.
• Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment.
• Experience in implementing and maintaining policies and procedures.
• Ability to work effectively and collaboratively across multiple teams in a remote work environment.
• Self-starter with the ability to work independently under minimal supervision.
• Must possess the ability to adapt to a changing business and regulatory environment.
• Must be able to handle stressful situations while maintaining a calm and professional demeanour.

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