VP of Global AML & Sanctions Compliance

Who We Are:

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 recent Series C funding round brought our total investment to over $170 million, fueling our ambitious vision.

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 6 million brokerage accounts.

Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. 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.

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.

Our Team Members:

We're a dynamic team of 230 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!

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.

Your Role:

We are hiring a VP of Global AML & Sanctions Compliance to lead our global AML and sanctions program, with a core focus on U.S. regulatory obligations. You will serve as the firm's primary liaison with U.S. regulators and oversee the development, implementation, and ongoing refinement of AML strategies across jurisdictions. This role combines direct accountability for the U.S. program with global oversight, ensuring consistent standards, effective governance, and risk-based controls across our international operations.

This is a senior-level role ideal for someone with deep AML expertise, strong U.S. regulatory experience, and the ability to lead global programs across diverse jurisdictions. You will be responsible for building and maintaining a gold standard AML and sanctions compliance program – one that sets the benchmark for innovation, rigor, and regulatory excellence across fintech and brokerage.

Things You Get To Do:

Program Oversight and Strategy

• Lead the development and implementation of Alpaca's global AML and sanctions programs, ensuring consistency and effectiveness across U.S. and non-U.S. entities
• Design and maintain global AML/CFT and sanctions policies in line with evolving regulatory expectations and internal risk appetite
• Conduct and update firm-wide AML risk assessments, advise on control design, and drive continuous program improvement
• Support AML and sanctions components of global licensing applications and regulatory filings
  
  

Regulatory Engagement and Governance

• Serve as Alpaca's global lead for AML matters, including direct engagement with U.S. regulators (SEC, FINRA, FinCEN, OFAC, SCB) and coordination with local AMLCOs for other jurisdictions
• Manage regulatory exams, internal audits, and third-party reviews, including preparation, coordination, and remediation
• Participate in internal governance forums and provide reporting and updates on AML-related risks to senior management and risk committees
• Oversee timely and accurate suspicious activity reporting and sanctions screening programs
  
  

Team Leadership and Regional Coordination

• Directly manage regional AML compliance officers and provide leadership across all jurisdictions in which Alpaca operates
• Support hiring, mentoring, and performance management for AML staff globally
• Align regional teams with a centralized AML strategy while enabling jurisdiction-specific implementation as needed
• Promote a culture of compliance, accountability, and collaboration across functions
  
  

Technology, Data, and Operational Efficiency

• Partner with engineering, product, and data teams to implement scalable AML solutions, including transaction monitoring, case management, and sanctions tools
• Champion a data-centric approach to compliance, using analytics to identify trends, monitor effectiveness, and improve operational processes
• Evaluate and, where appropriate, implement AI/ML tools to enhance detection capabilities, reduce false positives, and optimize case reviews
• Establish and maintain dashboards and KPIs to track AML performance and risk exposure
  
  

What You Bring (Required Qualifications):

• 10 years of AML and financial crime compliance experience, with significant exposure to U.S. regulatory frameworks (BSA, USA PATRIOT Act, OFAC), and global regimes (FATF, EU AMLD, FINTRAC, MAS)
• Demonstrated experience engaging with U.S. regulators, including SEC, FINRA, FinCEN, and OFAC, particularly in the context of broker-dealers and securities businesses
• Knowledge of Cross-Border transaction monitoring and reporting to ensure adherence with the Bank Secrecy Act and other international standards
• Must be able to implement a risk assessment standard program for the company to align with relevant regulations and vulnerabilities
• Proven leadership managing regional AML teams with a global oversight scope
• Deep expertise in AML risk frameworks, including customer due diligence, transaction monitoring, sanctions screening, and suspicious activity reporting
• CAMS or CFE certification required; Master's degree in Law, Finance, or related field preferred
• Strong communication and presentation skills, with experience advising senior leadership and engaging with external stakeholders such as law enforcement and regulators
• Experience with fintech, brokerage, crypto, or API-driven platform
• Data-driven mindset; experience implementing analytics or AI/ML solutions to support compliance operations is a strong plus
  
  

How We Take Care of You:

• Competitive Salary & Stock Options
• Health Benefits
• New Hire Home-Office Setup: One-time USD $500
• Monthly Stipend: USD $150 per month via a Brex Card
  
  

Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.

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