Who We Are:
Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.
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 10 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 $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.
Our Team Members:
We're a dynamic team of 400+ 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:
Join Alpaca Securities’ dynamic and fully remote Compliance team dedicated to safeguarding the integrity of the financial markets. In this role, you will play a critical part in supporting the firm’s BSA/AML, Anti-Fraud, and Securities Fraud Monitoring programs. You will lead and support investigations, ensure adherence to regulatory requirements, and help build a scalable and risk-based compliance infrastructure that meets evolving business and regulatory demands. This position reports directly to the AMLCO (Anti-Money Laundering Compliance Officer).
Things You Get To Do:
- Collaborate with the AMLCO to implement and refine investigative procedures across CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives
- Conduct in-depth investigations into potentially suspicious activity, including securities fraud, account manipulation, and other financial crimes identified through transaction monitoring alerts, escalations, and referrals
- Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with
- FinCEN requirements and internal policies
- Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries
- Maintain and continuously update firm-wide risk assessments covering BSA/AML, sanctions, fraud, and securities surveillance programs
- Partner with internal stakeholders and assist during external audits, examinations, and regulatory engagements
- Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols
- Stay abreast of regulatory developments and industry best practices, particularly those related to the Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations, and SEC/FINRA rules
- Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms
- Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors
Who You Are (Must-Haves):
- 5+ years of experience in financial crime investigations (AML, fraud, securities fraud, or related disciplines)
- Strong understanding of U.S. regulatory requirements (e.g., BSA/AML, USA PATRIOT Act, SEC/FINRA regulations)
- Demonstrated ability to identify and escalate potential market manipulation or suspicious trading activity
- Proficiency in transaction monitoring systems and case management tools.
- Strong analytical, documentation, and SAR-writing skills
- Effective communication and problem-solving abilities
- Experience with Google Sheets or MS Excel, including pivot tables and advanced filtering
- Working knowledge of domestic and international payment systems
- 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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Alpaca San Mateo, California, USA Office
20 N San Mateo Dr, San Mateo, CA, United States, 94401
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