Alpaca · 2 months ago
Director of Risk
United States
Full-time
Remote
Lead/Staff, Director/Executive
5+ years expAlpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure company. As the Director of Risk Oversight, you will partner with the leadership team to develop processes for oversight and quality control of brokerage operations, implement risk monitoring, and manage issues posing a risk to the firm.
Developer APIsFinancial ServicesFinTechTrading Platform
Responsibilities
Developing, maintaining and adapting Key Risk Indicators (KRIs) as the business evolves and scales
Performing independent reviews and stress testing
Designing policies and control frameworks
Assessing new products or business changes
Providing 2nd line of defence challenge to front-office risk management
Identify and manage risks to the organization, its employees, stakeholders, assets, and operations, and develop risk management strategies, objectives, and policies that establish the framework, tools, and procedures to achieve successful risk identification and management within best practice standards
Be the primary owner for Risk and Control Self-Assessment (RCSA) and internal testing program
Be the primary owner for due diligence related to onboarding and offboarding of correspondents/partner firms
Research incidents and issues with the appropriate person(s) and document from identification to resolution
On an ongoing basis, recommend and implement changes to firm policies and procedures as necessary
Provide guidance and training to promote risk control awareness, ownership and accountability
Monitor and analyze risks within the business units, including losses due to unsecured debits, and effectively provide reports to the Firm’s Risk and Controls Committee
Engage and develop effective working relationships to support cooperative responses to risk management matters and issues
Assumes responsibility for special projects; gathers data and prepares reports for senior management, auditors and other personnel
Qualification
Required
Bachelor's degree or Associate's degree in Law, Finance, Business or related discipline or the equivalent combination of experience and education
5+ years of experience with a regulator or at a broker-dealer in the financial services industry
FINRA Series 7 and 24 (an ability to get Series 4 within 3 months from start date)
Working knowledge of investment products and services offered by a broker-dealer and the related SEC and FINRA rules and regulations
Ability to keep issues appropriately confidential
Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
Experience in implementing and maintaining policies and procedures
Ability to work effectively and collaboratively across multiple teams in a remote work environment
Self-starter with the ability to work independently under minimal supervision
Must possess the ability to adapt to a changing business and regulatory environment
Must be able to handle stressful situations while maintaining a calm and professional demeanour
Enjoy challenges and take ownership of new responsibilities as required
Benefits
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
Company
Alpaca
Alpaca is a financial system platform that allows developers and businesses to build apps, embed investing, and trade algorithms.
201-500 employees
H1B Sponsorship
Alpaca has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2020 (2)
Funding
Current Stage
Late StageTotal Funding
$328.8MKey Investors
Drive CapitalSBI GroupPortage Ventures
2026-01-14Series D· $150M
2026-01-14Debt Financing· $40M
2025-04-23Series C· $52M
Leadership Team
Yoshi Yokokawa
Co-Founder and CEO
Hitoshi Harada
CPO and Co-Founder
Recent News
Morningstar.com
2026-01-07
Company data provided by crunchbase