Trade Surveillance Analyst 1 — Financial Crimes Department

Maintain and continuously update firm-wide risk assessments covering BSA/AML, sanctions, fraud, and securities surveillance programs.

Partner with internal stakeholders and assist during external audits, examinations, and regulatory engagements.

Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols.

Stay abreast of regulatory developments and industry best practices, particularly those related to the Bank Secrecy Act, the USA PATRIOT Act, OFAC regulations, and SEC/FINRA rules.

Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms.

Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors.

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.

Join Alpaca Securities’ dynamic and fully remote Compliance team dedicated to safeguarding the integrity of the financial markets.

In this role, you will play a critical part in supporting the firm’s BSA/AML, Anti-Fraud, and Securities Fraud Monitoring programs.  You will lead and support investigations, ensure adherence to regulatory requirements, and help build a scalable and risk-based compliance infrastructure that meets evolving business and regulatory demands.  This position reports directly to the AMLCO (Anti-Money Laundering Compliance Officer).

Collaborate with the AMLCO to implement and refine investigative procedures cross CIP/KYC, AML, Anti-Fraud, and Securities Fraud Monitoring initiatives.

Conduct in-depth investigations into potentially suspicious activity, including securities fraud, account manipulation, and other financial crimes identified through transaction monitoring alerts, escalations, and referrals.

Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with

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 D funding round

brought our total investment to over $320 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 9 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