Compliance Associate (UK), Appointed Representatives

Who We Are:

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 D funding round brought our total investment to over $320 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, totalling over 9 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.

Our Team Members:

We're a dynamic team of 230+ 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:

We are looking for a full-time Compliance Associate with direct experience in wealth management, brokerage, trading, compliance, audit to deliver compliance oversight within an AR umbrella. The position presents a real opportunity for an ambitious individual looking to join a growing business and is looking to develop their career within a dynamic team spanning finance and technology. 

Things You Get To Do:

• Responsibility for overseeing and approving the onboarding of ARs
• Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions)
• Review and approval of financial promotions for s21 clients, including high risk products
• Assisting with FCA filings

Who You Are (Must-Haves):

• Strong knowledge of FCA Handbook and Rules
• Knowledge of Anti-Money Laundering regulations and operations
• Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP)
• Compliance oversight experience
• Strong attention to detail
• Comfortable working in a digital environment
• Comfortable working in a remotely based company
• The ability to adapt quickly to changing situations
• Ability to manage workloads well, without supervision
• As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment. 

Who You Might Be (Nice-to-Haves):

• Experience in the Appointed Representative landscape (preferably including firm onboarding, APER onboarding & AR monitoring)
• Experience as Compliance SME in AR meetings and on AR related projects
• Experience in risk management
• Experience formulating responses to complex regulatory questions based on prevailing rules and legislation
• Auditing experience
• Experience in the fintech and/or start-up space

How We Take Care of You:

• 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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