Financial Operations Principal

Job Description

Job Description

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 C funding round brought our total investment to over $170 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 6 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 :

This is an opportunity to join a Fintech startup at an exciting time! Become one of the CORE influencers in the company.

The FinOp is a key role in the finance team and is responsible for overseeing the company's financial and operational compliance with the SEC's Net Capital Rule (Rule 15c3-1) and Customer Protection Rule (Rule 15c3-3).

The Accountia Key Roles and Responsibilities of a Series 27 FinOp :

1. Financial Oversight and Reporting

• Supervise, review, and file FOCUS reports (Form X-17A-5) with FINRA and the SEC, typically monthly or quarterly.
• Monitor net capital levels to ensure the firm maintains the required minimum net capital at all times.
• Ensure timely filing of financial statements and supplemental reports, including annual audited financials.
• Oversee financial books and records, including general ledger, trial balance, and subsidiary ledgers.

2. Regulatory Compliance

3. Internal Controls and Risk Management

4. Operational Supervision

5. Audits and Liaison Work

6. Strategic and Managerial Input

Who You Are (Must-Haves) :

How We Take Care of You :

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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