Alpaca

1 week ago

Financial Operations Principal

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

Oversee Alpaca’s financial and operational compliance for SEC Net Capital (Rule 15c3-1) and Customer Protection (Rule 15c3-3) as a core FinOp leader reporting to the CFO. Supervise regulatory filings (FOCUS/X-17A-5), maintain net capital, manage books and records, design internal controls, oversee clearing/settlement and margin processes, and coordinate audits and regulator/clearing-firm liaison.

Location: United States

Workplace: Remote

Employment Type: Full time

Job Function: Communications, PR & Community

Seniority: Mid level

Key Responsibilities

•Supervise and file FOCUS reports (Form X-17A-5) and ensure timely financial and supplemental reporting, including annual audited financials.
•Monitor net capital levels and maintain required minimum net capital at all times.
•Interpret and apply SEC and FINRA rules, including Rule 15c3-1, 15c3-3, and recordkeeping requirements (Rules 17a-3 and 17a-4).
•Design and maintain internal controls, supervise reconciliations, and help prevent/detect errors or fraud in financial reporting.
•Oversee clearing and settlement processes, monitor cash/securities movements, supervise margin calculations, and coordinate audits and liaison with auditors, regulators, and clearing firms.

Pay and Benefits

Perks:Health InsuranceEquity

Key Requirements

•Bachelor’s degree in Accounting or Finance; CPA preferred.
•Active FINRA Series 27 license.
•7+ years of relevant experience in self-clearing financial services preferred.
•Excellent data analysis and reporting skills.
•Strong attention to detail and ability to thrive with minimal daily direction in a fast-paced environment.

Experience:7+ yearsFintechBroker-dealerSelf-clearing

Education:Bachelor's in Accounting or Finance

Skills:Data analysisReportingAttention to detailAccuracyAdaptabilityTeamworkOwnership

Licenses:FINRA Series 27

Certifications:CPA

Company Brief

Alpaca

Provides developer-first APIs and brokerage infrastructure for algorithmic and automated stock trading, enabling fintechs and developers to build trading applications with commission-free market access and custody services.

Industry: Fintech Infrastructure

Company Size: Medium (51 to 250 employees)

Growth: Scaleup

Funding: Series C

Headquarters: San Mateo, United States

Founded: 2015

Website LinkedIn

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Alpaca

1 week ago

Financial Operations Principal

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

Location: United States

Workplace: Remote

Employment Type: Full time

Job Function: Communications, PR & Community

Seniority: Mid level

Key Responsibilities

•Supervise and file FOCUS reports (Form X-17A-5) and ensure timely financial and supplemental reporting, including annual audited financials.
•Monitor net capital levels and maintain required minimum net capital at all times.
•Interpret and apply SEC and FINRA rules, including Rule 15c3-1, 15c3-3, and recordkeeping requirements (Rules 17a-3 and 17a-4).
•Design and maintain internal controls, supervise reconciliations, and help prevent/detect errors or fraud in financial reporting.
•Oversee clearing and settlement processes, monitor cash/securities movements, supervise margin calculations, and coordinate audits and liaison with auditors, regulators, and clearing firms.

Pay and Benefits

Perks:Health InsuranceEquity

Key Requirements

•Bachelor’s degree in Accounting or Finance; CPA preferred.
•Active FINRA Series 27 license.
•7+ years of relevant experience in self-clearing financial services preferred.
•Excellent data analysis and reporting skills.
•Strong attention to detail and ability to thrive with minimal daily direction in a fast-paced environment.

Experience:7+ yearsFintechBroker-dealerSelf-clearing

Education:Bachelor's in Accounting or Finance

Skills:Data analysisReportingAttention to detailAccuracyAdaptabilityTeamworkOwnership

Licenses:FINRA Series 27

Certifications:CPA

Company Brief

Alpaca

Industry: Fintech Infrastructure

Company Size: Medium (51 to 250 employees)

Growth: Scaleup

Funding: Series C

Headquarters: San Mateo, United States

Founded: 2015

Website LinkedIn