Non Financial Regulatory Reporting Manager, Alpaca
Plus stock options
API for stock and crypto trading
Job no longer available
API for stock and crypto trading
201-500 employees
Job no longer available
Plus stock options
201-500 employees
Company mission
To unlock asset management for the people by modularising the world’s asset management activities.
Role
Who you are
- A successful candidate must have demonstrated in-the-weeds knowledge in one or more of the below-named systems including project management and day-to-day operation management:
- Consolidated Audit Trail Implementation (CAT): Desired skills include prior involvement on an implementation team regarding the order flow, BA work mapping firm functions to reporting scenarios and reporting UAT testing. Also, strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired
- Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
- Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system
- Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and advise and implement regulatory rule changes
- Global Markets Operations/Technology experience preferred
- Two years of trading experience
- Five years of brokerage experience
- Understanding of NFRR rules
- Experience with regulatory programs
- FINRA Series 7 license
- FINRA Series 24 license (or ability to obtain in 6 months)
- Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
- Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
- Experience with FINRA, Federal, and SEC regulations
- Ability to collaborate and work effectively in a remote team environment
- Must possess the ability to adapt to a changing business and regulatory environment
- Enjoys challenges and taking ownership of new responsibilities
- Self-starter takes initiative
- Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and Query database skills
What the job involves
- This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space
- You will help our team by focusing on Non-Financial Regulatory Reporting
- The team is 100% distributed and remote
- The role will be reporting directly to the VP of Operations
- Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
- Act as the Firm’s principal on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, and short-interest reporting
- Draft technical specifications for the firm’s developers to comply with securities regulatory reporting obligations
- Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
- Serves as an escalation point to resolve broad and complex operational issues related to NFRR
- Manage the process to establish, maintain, review, test, and modify Operations policies
- Establish and maintain written procedures to ensure efficient controls are in place, and any rules changes have been incorporated
- Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
- Effective running of forums with large stakeholder groups, for the identification, tracking, and remediation of data issues and control enhancements that impact the respective reports
- Perform other duties and responsibilities as assigned
Our take
Alpaca offers a developer-first API for stock trading. It enables companies to offer short-stock trading both worldwide and competitively commission-free across various programming languages. Within one year of launch Alpaca facilitated over $1 billion in transactions.
This is impressive, but not surprising. Fintech apps that facilitate stock trading on a level previously inaccessible to retail investors are on the rise. Alpaca puts this software within reach of companies who may previously have lacked the ability or the tech to do so, meaning it delivers a valuable service.
Despite plenty of competition, Alpaca has created a solid position for itself. It is well-funded and set on international expansion as well as further development of its offering. In 2025, the company was accepted as a Nasdaq Exchange Member, reflecting its progression toward building in-house, full-stack brokerage infrastructure.
Freddie
Company Specialist at Welcome to the Jungle
Insights
Company
Funding (last 2 of 11 rounds)
Jan 2026
$150m
SERIES D
Apr 2025
$52m
SERIES C
Total funding: $289m
Company benefits
- Stock Options
- Health benefits from day 1 (internationally, this includes a stipend value to offset medical costs)
- New Hire Home-Office Setup: One-time USD $500
- Monthly Stipend: USD $150 per month via a Brex Card
- Work with awesome people, clients and partners from around the world
- Medical, Dental, Vision 🇺🇸
- Supplemental health care 🇨🇦
Company HQ
Downtown, San Mateo, CA
Leadership
Hitoshi Harada
(CPO)Former Database Kernel Architect at pivotal Inc and contributor at PostgreSQL Global development Group. Graduated from Keio University.
Yoshi Yokokawa
(CEO)Co-founder of Ikkyo Technology and former Forex Trader. Former Vice-President at Nomura.
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