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Who We Are:Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more.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 10 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 $400 million in funding from top-tier global investors including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Opera Tech Ventures, SBI Group, Derayah Financial, Unbound, Peak XV, Elefund, and Y Combinator.Your Role:Join Alpaca at an exciting stage of growth and play a critical role in safeguarding the financial integrity of our U.S. broker-dealer while helping scale one of the industry's leading fintech platforms.As our Financial Operations Principal (Series 27 FinOp), you will serve as the firm's designated Financial and Operations Principal, partnering directly with the CFO to oversee regulatory reporting, capital compliance, broker-dealer financial responsibility, and operational controls. You'll help ensure compliance with SEC and FINRA financial responsibility rules while supporting Alpaca's continued growth and expansion.In this highly visible role, you'll collaborate across Finance, Operations, Compliance, and Engineering to strengthen internal controls, oversee regulatory reporting, and help scale Alpaca's broker-dealer infrastructure while ensuring the firm remains compliant as new products and services are introduced.Our Accounting & Finance team is fully remote, and this role reports directly to the CFO.What You’ll Do:Financial Reporting & Regulatory ComplianceServe as the firm's designated Financial and Operations Principal (FinOp), ensuring compliance with SEC and FINRA financial responsibility rulesOwn the preparation, review, and timely filing of FOCUS Reports (Form X-17A-5) and all required regulatory financial filingsMonitor and maintain compliance with SEC Rule 15c3-1 (Net Capital Rule) and Rule 15c3-3 (Customer Protection Rule)Ensure timely preparation and filing of monthly, quarterly, and annual financial reports, including audited financial statementsMaintain accurate financial books and records, including the general ledger, trial balance, and supporting schedulesFinancial Operations OversightSupervise financial operations, including firm and customer account reconciliations.Oversee source accounting entries and the firm's books and recordsPartner cross-functionally with Finance, Operations, Treasury, and Compliance to ensure accurate accounting, reconciliations, and operational processesEvaluate the regulatory impact of operational changes, new products, and strategic initiativesMonitor cash and securities movements to ensure compliance with custody and regulatory requirementsOversee margin calculations and related capital impactsRisk Management & Internal ControlsDevelop and maintain effective internal controls over financial reporting and regulatory complianceIdentify and mitigate operational and financial risksEnsure compliance with SEC Rules 17a-3 and 17a-4 regarding books and recordsSupport process improvements that strengthen operational efficiency while maintaining regulatory complianceRegulatory & Audit ManagementServe as the primary financial liaison for FINRA, the SEC, external auditors, and clearing firmsLead FINRA and SEC examinations, financial audits, and regulatory inquiriesCoordinate the firm's annual independent audit and related regulatory reportingStrategic LeadershipAdvise executive leadership on capital adequacy, liquidity, and the financial impact of strategic initiativesPartner with senior leadership on new products, operational changes, and business expansion to ensure regulatory readinessPartner with Product and Engineering teams to support regulatory readiness for new products and platform enhancementsHelp build scalable financial operations that support the company's continued growthWho You Are (Must-Haves):Bachelor's degree in Accounting, Finance, or a related fieldActive FINRA Series 27 (Financial and Operations Principal) license7+ years of broker-dealer financial operations or regulatory accounting experienceExperience preparing and filing FOCUS Reports.Strong understanding of broker-dealer accounting, reconciliations, and regulatory reportingExcellent analytical, problem-solving, and organizational skillsExceptional attention to detail and ability to thrive in a fast-paced environmentAbility to work independently in a remote environment while partnering effectively across teamsStrong knowledge of:SEC Rule 15c3-1 (Net Capital Rule)SEC Rule 15c3-3 (Customer Protection Rule)SEC Rules 17a-3 and 17a-4FINRA financial reporting requirementsWho You Might Be (Nice-to-Haves):CPA designationExperience supporting a self-clearing broker-dealerExperience partnering directly with FINRA, the SEC, external auditors, and clearing firmsExperience in a high-growth fintech or startupExperience improving financial operations through automation or process optimizationExperience supporting new product launches or business expansion in a regulated broker-dealer environmentHow We Take Care of You:Competitive Salary & Stock OptionsHealth BenefitsNew Hire Home-Office Setup: One-time USD $500Monthly Stipend: USD $150 per month via a Brex Card
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