VP of Global AML & Sanctions Compliance

United States

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Not SpecifiedCompensation

Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Brokerage, FintechIndustries

Requirements

Candidates should have deep AML expertise and strong U.S. regulatory experience, with the ability to lead global programs across diverse jurisdictions. Experience in fintech and brokerage is preferred.

Responsibilities

The VP of Global AML & Sanctions Compliance will lead the development and implementation of Alpaca's global AML and sanctions programs, ensuring consistency and effectiveness across U.S. and non-U.S. entities. This includes designing and maintaining global AML/CFT and sanctions policies, conducting firm-wide AML risk assessments, advising on control design, and driving continuous program improvement. The role involves serving as the global lead for AML matters, engaging directly with U.S. regulators, managing regulatory exams and audits, and overseeing suspicious activity reporting and sanctions screening programs. Additionally, the VP will directly manage regional AML compliance officers and provide leadership across all jurisdictions where Alpaca operates, supporting hiring, mentoring, and performance management for AML staff.

Skills

AML

Sanctions Compliance

Regulatory Obligations

Broker-Dealer Operations

Financial Services

API Development

Risk Management

Compliance Programs

Global Operations

Alpaca

API-first brokerage for stock trading

About Alpaca

Alpaca Securities LLC operates in the stock brokerage industry by providing an API-first brokerage service that allows other businesses to create their own trading applications. This service enables companies to integrate stock trading functionality into their platforms without the need to become brokers themselves, saving them time and resources. Alpaca's API supports seamless trading experiences for users and includes features like Local Currency Trading, which allows international investors to trade US stocks in their local currency. Additionally, Alpaca offers crypto wallets and coin pair trading, expanding the financial services available to its clients. Unlike traditional brokers, Alpaca focuses on a business-to-business model, catering primarily to other companies that want to offer trading services to their customers. The goal of Alpaca is to simplify the trading process for businesses and their users while providing a secure and efficient platform for executing trades.

San Mateo, CaliforniaHeadquarters

2015Year Founded

$84.5MTotal Funding

CONVERTIBLECompany Stage

Fintech, Financial ServicesIndustries

201-500Employees

Benefits

Competitive salary & stock options

Medical, dental, & vision

Home office setup stipend

Monthly Brex Card stipend

Risks

Increased competition from fintech platforms like GUGU offering commission-free trading.

Potential regulatory challenges in international markets may complicate Alpaca's expansion.

Self-clearing transition introduces operational risks in managing settlement processes.

Differentiation

Alpaca offers API-first brokerage services, enabling businesses to build trading applications.

Alpaca supports local currency trading, simplifying US stock trading for international investors.

Alpaca provides crypto wallets and coin pair trading, expanding financial services for clients.

Upsides

Alpaca's self-clearing transition enhances asset transfers and securities lending opportunities.

Partnership with Derayah Financial accelerates Middle Eastern business expansion for Alpaca.

Alpaca's limit orders and extended hours trading for fractional shares lead retail trading.

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