Director/Manager of Risk - AlpacaView Company Profile
- Job Title
- Director/Manager of Risk
- Job Location
- Job Listing URL
- Job Description
As the Director/Manager of Risk, you’ll partner with the President, the COO and the CCO, to develop and drive to completion processes for brokerage operations, risk monitoring, and customer service. A successful person in this role would be expected to eventually take over leadership of the Risk department as Alpaca grows and it expands the services it offers.
The Risk and Compliance teams are 100% distributed and remote. This role will be reporting directly to the Chief Compliance Officer of Alpaca Securities LLC.
Things You Get To Do:
- Develop and maintain the Firm’s risk management framework: Management reporting; policies, procedures and limits; risk measurements, internal controls, and monitoring.
- Identify and manage risks to the organization, its employees, stakeholders, assets and operations and develop risk management strategies, objectives and policies that will 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.
Who You Are (Must-Haves):
- Bachelor's degree or Associate’s degree in Law, Finance, Business or related discipline or the equivalent combination of experience and education.
- 3 - 5 years of experience with a regulator or at a broker dealer in the financial services industry.
- FINRA Series 7
- 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 demeanor.
- Enjoy challenges and be able to take ownership of new responsibilities as required.
Who You Might Be (Nice-to-Haves):
- FINRA Series 24.
How We Take Care of You:
- Competitive Salary & Stock Options
- Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care. 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 hard working people, super smart and cool clients and innovative partners from around the world
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
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Alpaca Headquarters Location
San Mateo, CA
Alpaca Company Size
Between 200 - 500 employees
Alpaca Founded Year
Alpaca Total Amount Raised
Alpaca Funding RoundsView funding details