Alpaca is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more, and has raised over $170 million in funding. Amongst our subsidiaries, Alpaca is a licensed financial services company in multiple countries, and we serve hundreds of financial institutions globally such as broker-dealers, investment advisors, hedge funds, and crypto exchanges.
Alpaca’s globally distributed team members bring in diverse experiences such as engineers, traders, and brokerage professionals to achieve our Mission of opening financial services to everyone on the planet. We are also deeply committed to open-source contributions and fostering a vibrant community. We will continue to enhance and improve our award-winning developer-friendly API and the infrastructure behind it.
Our Team Members:
We’re a team of 200+ globally distributed members who love working from our favorite places worldwide. Our team spans the USA, Canada, Japan, Hungary, Nigeria, Brazil, the United Kingdom, and more!
We’re looking for candidates eager to join Alpaca’s growing organization, who are excited about our Mission of “Open financial services to everyone on the planet and share our Values of “Stay Curious,” “Have Empathy,” and “Be Accountable.”
Alpaca is seeking a sharp, thoughtful, and business-minded Legal Counsel to join our growing Legal team. This role is ideal for someone with deep broker-dealer regulatory expertise who thrives in a fast-paced, innovative environment and is excited to shape the future of brokerage infrastructure.
Navigating complex regulatory frameworks to help the business design and implement innovative financial products and services
Leading legal reviews of product design, marketing, and customer onboarding processes to ensure compliance with regulations while enabling business growth
Supporting other areas of the business, such as digital assets and payments, as needed
Advising on the application of new or anticipated legal requirements and regulatory guidance to the firm's systems, policies and procedures
Monitoring regulatory developments at relevant governmental agencies and self-regulatory organizations, including the SEC, FINRA, CFTC, FinCEN and OFAC
Support the company’s engagement with regulators including the SEC, FINRA, and other agencies
Drafting agreements, disclosures, policies and procedures
Conduct legal research and analysis on novel questions, and provide clear, practical guidance to internal stakeholders
Partnering cross-functionally with teams outside of Legal, including the firm’s Product, Brokerage, Crypto, Compliance, Anti-Money Laundering, Sales and Success functions
J.D. degree (or foreign equivalent) and active membership in at least one U.S. state bar
5+ years of legal experience, with at least 3 years focused on U.S. broker-dealer regulation (under the Securities Exchange Act of 1934, regulations and rules thereunder, FINRA rules and other federal and state securities laws)
Familiarity with U.S. cryptoasset regulatory regimes (e.g., SEC, CFTC, NYDFS, FinCEN, AML)
Strong experience advising fintechs or financial institutions, ideally in a startup or growth-stage environment
Demonstrated ability to deliver strategic, business-oriented legal advice under tight deadlines
Excellent written and verbal communication skills and a practical, collaborative working style
Strong judgment, self-motivation, and the ability to work independently and manage multiple projects
Comfort with ambiguity and a growth mindset in a fast-scaling company
Experience working in a financial services regulatory agency or a sophisticated regulatory practice within a major law firm
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
Originally posted on Himalayas
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