Financial Operations Principal

Alpaca is seeking a Financial Operations Principal (Series 27 FinOp) to join their remote US-based finance team. In this role, you will partner with the CFO to ensure the financial integrity and regulatory compliance of the US broker-dealer. You will oversee regulatory reporting, capital compliance, and financial operations, collaborating with various departments to strengthen internal controls and support the company's growth.

• Serve as the firm's designated Financial and Operations Principal (FinOp)
• Ensure compliance with SEC and FINRA financial responsibility rules
• Prepare and file FOCUS Reports and other regulatory financial filings
• Monitor and maintain compliance with Net Capital Rule and Customer Protection Rule
• Oversee financial operations, including reconciliations and accounting entries
• Act as the primary financial liaison for FINRA, SEC, and external auditors