Financial Operations Principal

Your Role: Join Alpaca at an exciting stage of growth and play a critical role in safeguarding the financial integrity of our U.S. broker-dealer while helping scale one of the industry's leading fintech platforms.

As our Financial Operations Principal (Series 27 FinOp), you will serve as the firm's designated Financial and Operations Principal, partnering directly with the CFO to oversee regulatory reporting, capital compliance, broker-dealer financial responsibility, and operational controls. You'll help ensure compliance with SEC and FINRA financial responsibility rules while supporting Alpaca's continued growth and expansion.

In this highly visible role, you'll collaborate across Finance, Operations, Compliance, and Engineering to strengthen internal controls, oversee regulatory reporting, and help scale Alpaca's broker-dealer infrastructure while ensuring the firm remains compliant as new products and services are introduced.

Our Accounting & Finance team is fully remote, and this role reports directly to the CFO.

What You’ll Do: Financial Reporting & Regulatory Compliance

Serve as the firm's designated Financial and Operations Principal (FinOp), ensuring compliance with SEC and FINRA financial responsibility rules

Own the preparation, review, and timely filing of FOCUS Reports (Form X-17A-5) and all required regulatory financial filings

Monitor and maintain compliance with SEC Rule 15c3-1 (Net Capital Rule) and Rule 15c3-3 (Customer Protection Rule)

Ensure timely preparation and filing of monthly, quarterly, and annual financial reports, including audited financial statements

Maintain accurate financial books and records, including the general ledger, trial balance, and supporting schedules

Financial Operations Oversight Supervise financial operations, including firm and customer account reconciliations.

Oversee source accounting entries and the firm's books and records

Partner cross-functionally with Finance, Operations, Treasury, and Compliance to ensure accurate accounting, reconciliations, and operational processes

Evaluate the regulatory impact of operational changes, new products, and strategic initiatives

Monitor cash and securities movements to ensure compliance with custody and regulatory requirements

Oversee margin calculations and related capital impacts

Risk Management & Internal Controls Develop and maintain effective internal controls over financial reporting and regulatory compliance

Identify and mitigate operational and financial risks

Ensure compliance with SEC Rules 17a-3 and 17a-4 regarding books and records

Support process improvements that strengthen operational efficiency while maintaining regulatory compliance

Alpaca is hiring for this role on CareerPlace.

Apply on the company website through Alpaca.

Imported from employer careers page. Source ref: aac7c701c9fb.