Senior Manager, Operations Control

Join Alpaca as a Senior Manager in Operations Control, overseeing back-office operations and ensuring compliance with regulatory requirements.

Remote position in the Americas with a competitive salary.

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, totaling 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.

## What you'll do

• •Design, implement, and maintain the Ops Control framework across back-office operations.
• •Oversee ICOC review design, testing, and documentation.
• •Independently verify and resolve operational issues within defined timeframes.
• •Maintain a centralized controls inventory and monitoring hub.
• •Conduct thematic reviews to identify systemic control weaknesses.
• •Lead Ops Control exam preparedness for audits and examinations.
• •Partner with Product and Engineering to incorporate operational control considerations.
• •Drive automation and use of advanced tooling to improve control effectiveness.

## Conditions

• •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

• •7+ years of experience in clearing broker-dealer back-office operations or related control functions.
• •Leadership experience in Ops Control, Clearing Operations, or Financial Control.
• •Hands-on knowledge of SEA Rules 15c3-1 and 15c3-3, margin and rehypothecation rules, FINRA Uniform Practice Code.
• •Proven ability to identify, test, and challenge operational controls.
• •Experience supporting FINRA and SEC examinations.
• •Clear communicator able to summarize findings for stakeholders.
• •Comfortable operating independently in a fast-paced environment.