Process daily incoming and outgoing ACATS transfers within industry timelines, validating client information and asset eligibility.
Handle communications with contra firms, transfer agents, and partner brokers to coordinate on rejections and documentation.
Partner with engineering to automate daily self-clearing workflows and drive continuous operational improvement.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and more. With a diverse team of 400+ globally distributed members and $400 million in funding from top-tier investors, we are committed to open-source contributions and fostering a vibrant community.
You will act as the voice of Wealthsimple, breaking down complex financial concepts for clients.
You will own the client journey end-to-end, solving strategic problems.
You will work with a maker-owner mindset, improving tools based on front-line insights.
Wealthsimple is Canada's leading financial innovator, offering a full suite of simple, sophisticated financial products across investing, trading, cryptocurrency, tax filing, spending, and saving. The company serves over 4 million Canadians, holds over $155 billion in assets, and employs over 1,500 people across North America with a hybrid team culture.
Serve as Chief Compliance Officer for either the broker-dealer or RIA, building and scaling the compliance program.
Liaise with regulators such as FINRA and SEC, and manage exams and filings.
Oversee supervision, surveillance, KYC/AML, and marketing review, while partnering cross-functionally.
Frec is a fintech company that builds tax-aware investment tools to help investors keep more of their earnings. They have grown rapidly with over $1 billion in customer assets and are backed by Greylock Partners, fostering a fast-paced, customer-centric culture.
Conduct comprehensive on-site and remote examinations of branch offices and registered representatives to ensure compliance with FINRA, SEC, and state regulations.
Review client files, trade blotters, and financial records, and interview staff to identify deficiencies and operational weaknesses.
Prepare detailed reports summarizing findings and collaborate with the compliance team to develop proactive solutions.
Horace Mann, founded in 1945 by teachers, provides insurance and financial products to help educators protect their assets and prepare for the future. We serve over 4,100 school districts nationwide, are publicly traded on the NYSE, and have more than $12 billion in assets.
Collaborate with globally-distributed teams to strengthen the Financial Crimes program and investigate suspicious activity.
Screen transactions against sanctions, respond to regulatory inquiries, and prepare SAR recommendations.
Conduct CIP/KYC, CDD, and EDD reviews to identify and mitigate customer and firm-wide risk.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, and more. The company has a globally distributed team of 400+ members, backed by $400 million in funding, and values curiosity, empathy, and accountability.
Oversee and strengthen compliance programs within a fast-growing global financial technology environment.
Work closely with business teams and senior stakeholders to ensure regulatory alignment and operational excellence.
Develop policies, improve controls, and support regulatory initiatives.
Our partner is a fast-growing global financial technology company. They foster a collaborative culture with experienced professionals across multiple regions.
Support the execution of Alpaca’s cybersecurity risk management program.
Conduct cyber risk assessments across cloud infrastructure, APIs, trading systems, and internal platforms.
Assist in identifying, documenting, and evaluating AI-related risks such as model risk, data privacy, and bias.
Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. The company is backed by $400 million in funding and has a globally distributed team of 400+ members.