Risk Associate

We are seeking a highly motivated and detail-oriented individual to join our growing Risk Team as a Risk Associate at Alpaca Securities. We offer a collaborative and supportive work environment where you can contribute to shaping our risk management and compliance culture and furthering our commitment to operational excellence. The ideal candidate will be responsible for performing a wide range of risk-related tasks, including incident response and escalations, audit inquiries, Due Diligence and Customer Identification reviews as well as other critical tasks within our broker-dealer environment. Responsibilities include conducting risk assessments of partners, vendors, and third-party service providers; ensuring compliance with CIP requirements during account opening and onboarding processes; acting as a first responder to incidents and Sev escalations; supporting the development and maintenance of internal controls and risk mitigation strategies; and conducting internal controls testing to evaluate the effectiveness of existing operational processes and controls.