Compliance Associate (UK), Appointed Representatives at Alpaca

<div class="content-intro"><p><strong>Who We Are:</strong></p> <p>Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our&nbsp;<a href="https://alpaca.markets/blog/alpaca-raises-150-million-at-a-1-15b-valuation-to-build-the-global-standard-for-brokerage-infrastructure/">recent Series D funding round</a> brought our total investment to over $320 million, fueling our ambitious vision.</p> <p>Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 9 million brokerage accounts.</p> <p>Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of&nbsp;<strong>opening financial services to everyone on the planet</strong>. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.</p> <p>Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.</p> <p>&nbsp;</p> <p><strong>Our Team Members:</strong></p> <p>We're a dynamic team of 380+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!<br><br>We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.</p></div><p><span style="font-size: 12pt;"><strong>Your Role:</strong></span></p> <p><span style="font-size: 12pt;">We are looking for a full-time Compliance Associate with direct experience in wealth management, brokerage, trading, compliance, audit to deliver compliance oversight within an AR umbrella. The position presents a real opportunity for an ambitious individual looking to join a growing business and is looking to develop their career within a dynamic team spanning finance and technology.&nbsp;</span></p> <h3><span style="font-size: 12pt;"><strong>Things You Get To Do:</strong></span></h3> <ul> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Responsibility for overseeing and approving the onboarding of ARs</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions)</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Review and approval of financial promotions for s21 clients, including high risk products</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Assisting with FCA filings</span></li> </ul> <h3><span style="font-size: 12pt;"><strong>Who You Are (Must-Haves):</strong></span></h3> <ul> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Strong knowledge of FCA Handbook and Rules</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Knowledge of Anti-Money Laundering regulations and operations</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience in either producing/executing or overseeing a Compliance Monitoring Plan (CMP)</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Compliance oversight experience</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Strong attention to detail</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Comfortable working in a digital environment</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Comfortable working in a remotely based company</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">The ability to adapt quickly to changing situations</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Ability to manage workloads well, without supervision</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">As well as an ability to work unsupervised, the ideal candidate should also work well in a diverse and collaborative team environment.&nbsp;</span></li> </ul> <p>&nbsp;</p> <h3><span style="font-size: 12pt;"><strong>Who You Might Be (Nice-to-Haves):</strong></span></h3> <ul> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience in the Appointed Representative landscape (preferably including firm onboarding, APER onboarding &amp; AR monitoring)</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience as Compliance SME in AR meetings and on AR related projects</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience in risk management</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience formulating responses to complex regulatory questions based on prevailing rules and legislation</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Auditing experience</span></li> <li style="font-size: 12pt;"><span style="font-size: 12pt;">Experience in the fintech and/or start-up space</span></li> </ul><div class="content-conclusion"><h3><strong>How We Take Care of You:</strong></h3> <ul> <li style="font-weight: 400; text-align: justify;"><span style="font-weight: 400;">Competitive Salary &amp; Stock Options</span></li> <li style="text-align: justify;">Health Benefits</li> <li style="font-weight: 400; text-align: justify;"><span style="font-weight: 400;">New Hire Home-Office Setup: One-time USD $500</span></li> <li style="font-weight: 400; text-align: justify;"><span style="font-weight: 400;">Monthly Stipend: USD $150 per month via a Brex Card</span></li> </ul> <p><em><span style="font-weight: 400;">Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.<br></span></em></p> <p><span style="font-size: 8pt;"><a href="https://files.alpaca.markets/disclosures/AlpacaRecruitmentPrivacyPolicy.pdf"><em><span style="font-weight: 400;">Recruitment Privacy Policy</span></em></a></span></p></div>