Financial Operations Principal
Alpaca is a brokerage infrastructure company providing developer APIs for stocks, options, fixed income, and crypto trading, plus tokenization infrastructure for TradFi–DeFi markets.
Maintainer signals as of 9/2/2026
Funding history
Investors
About Alpaca
Alpaca provides API-first brokerage infrastructure for fintechs, institutions, algorithmic traders, and developers. Its offerings include Broker API, Trading API, market data, self-clearing brokerage services, crypto services, and the Instant Tokenization Network for in-kind minting and redemption of tokenized assets.
Skills
About the Role
Serve as the designated Financial and Operations Principal for Alpaca's U.S. broker-dealer, overseeing regulatory reporting, capital compliance, financial responsibility, reconciliations, books and records, internal controls, audits, and regulatory examinations.
Requirements
- Bachelor's degree in Accounting, Finance, or a related field
- Active FINRA Series 27 license
- 7+ years of broker-dealer financial operations or regulatory accounting experience
- Experience preparing and filing FOCUS Reports
- Knowledge of broker-dealer accounting, reconciliations, and regulatory reporting
- Knowledge of SEC Rules 15c3-1, 15c3-3, 17a-3, and 17a-4
- Knowledge of FINRA financial reporting requirements
- CPA designation preferred
- Experience supporting a self-clearing broker-dealer preferred
Responsibilities
- Serve as the firm's designated Financial and Operations Principal
- Prepare, review, and file FOCUS Reports and required regulatory financial filings
- Monitor compliance with SEC net capital and customer protection rules
- Prepare and file monthly, quarterly, and annual financial reports
- Maintain financial books and records, including the general ledger, trial balance, and supporting schedules
- Supervise firm and customer account reconciliations
- Oversee accounting entries and books and records
- Evaluate the regulatory impact of operational changes and new products
- Monitor cash and securities movements
- Oversee margin calculations and capital impacts
- Develop and maintain internal controls
- Identify and mitigate operational and financial risks
- Serve as the financial liaison for FINRA, the SEC, auditors, and clearing firms
- Lead regulatory examinations, audits, and inquiries
- Advise leadership on capital adequacy and liquidity
- Support regulatory readiness for new products and platform enhancements
Benefits
- Stock options
- Health benefits
- New hire home-office setup: one-time USD $500
- Monthly stipend: USD $150 per month via a Brex Card