Financial Operations Principal - Remote

Overview

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 C funding round brought our total investment to over $170 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 6 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.

In Short

• Join a dynamic Fintech startup as a Financial Operations Principal.
• Oversee financial and operational compliance with SEC’s Net Capital Rule.
• Supervise, review, and file FOCUS reports with FINRA and the SEC.
• Monitor net capital levels and ensure timely filing of financial statements.
• Interpret and apply SEC and FINRA rules for regulatory compliance.
• Design and maintain internal controls to safeguard assets.
• Coordinate annual independent audits and act as liaison to auditors.
• Advise management on capital adequacy and financing strategies.
• Support day-to-day accounting operations in collaboration with other teams.
• Work in a fully remote environment with a globally distributed team.

Requirements

• Experience in financial operations, particularly in a brokerage environment.
• Strong understanding of SEC and FINRA regulations.
• Proven ability to oversee financial reporting and compliance.
• Experience in risk management and internal controls.
• Ability to coordinate audits and liaise with regulatory bodies.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.
• Ability to work independently in a remote setting.

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.