Financial Operations Principal
About the role
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,