Alpaca Benefits Overview

Supports the Chief Compliance Officer in executing the firm’s compliance program. Responsibilities include applying FINRA and SEC regulations, monitoring controls, improving processes, maintaining policies and supervisory procedures, reviewing communications, supporting regulatory examinations and filings, conducting branch inspections, and assisting with product governance.

Provide business-oriented legal guidance on U.S. broker-dealer regulation, digital assets, payments, privacy, product launches, marketing, onboarding, regulatory engagement, agreements, policies, and disputes. Monitor SEC, FINRA, CFTC, FinCEN, and OFAC developments; conduct legal research; advise cross-functional teams; and manage litigation, arbitration, outside counsel, claims, and discovery.

Own high-impact cross-functional operating constraints from discovery through measurable resolution. Diagnose root causes across domains, design and build process, automation, governance, or organizational solutions, mobilize teams without direct authority, drive adoption, measure outcomes, and establish durable ownership. The role requires systems thinking, analytical rigor, prioritization, executive communication, and sustained implementation to create operating leverage across the company.