Operations Control, Senior Manager

<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 <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 <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> </p> <p><strong>Our Team Members:</strong></p> <p>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!<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><strong>Your Role:</strong> <strong>Ops Control Framework Oversight</strong></p> <ul> <li>Design, implement, and maintain the Ops Control framework across back-office operations, including settlement, clearing, custody, cashiering, margin, stock loan, and customer communications</li> <li>Oversee ICOC review design, testing, and documentation to ensure reviews are risk-based, well-documented, and performed in accordance with applicable regulatory requirements</li> <li>Independently verify that large and aged deficits, suspense items, stock record breaks, securities lending breaks, aged recalls, and fail positions are identified, escalated, and resolved within defined timeframes</li> <li>Independently oversee and test operational processes performed by ops teams to confirm controls are properly designed, operating as intended, and consistently followed.</li> <li>Maintain a centralized controls inventory and monitoring hub (GRC tooling, dashboards, or internal platforms) covering control ownership, testing cadence, issues, and remediation status</li> <li>Conduct thematic reviews to identify systemic control weaknesses and emerging risks</li> <li>Challenge control design and execution where gaps exist and partner with operations leadership to drive durable improvements</li> <li>Lead Ops Control exam preparedness, including coordination and support for internal audits, external auditors, and FINRA and SEC examinations</li> <li>Partner with Product and Engineering to incorporate operational control considerations into new product development and change initiatives</li> <li>Drive automation and the use of advanced tooling, including AI-enabled review processes, to improve control effectiveness, scalability, and sustainability</li> </ul> <h3><strong>Qualifications (Must-Haves)</strong></h3> <ul> <li>7+ years of experience in clearing broker-dealer back-office operations, Ops Control, or related control functions</li> <li>Prior leadership experience in Ops Control, Clearing Operations, or Fina ... (truncated, view full listing at source)