[Hiring] Head of Compliance & MLRO @Alpaca

Role Description

Establish and lead a “compliance-by-design” framework that keeps Alpaca’s twin ADGM licences, Category 3A (Dealing in Investments as Principal/Agent) and Category 3B (Providing Custody), in pristine regulatory standing while we scale a high-velocity, API-driven brokerage for both traditional securities and virtual assets.

What You’ll Be Doing (Key Responsibilities)

• Governance: Chair the internal Compliance Committee and deliver quarterly reports to the Board.
• Regulatory inventory and policies: Keep a live register of all FSRA rules (GEN, COBS, PRU, AML, Virtual-Asset Guidance) and update policies within 10 days of any FSRA circular.
• AML / CFT & MLRO: Own the AML/CFT programme, conduct annual business-risk assessments, file Suspicious Activity Reports, and ensure full “Travel Rule” compliance for VA transfers.
• Virtual-asset controls: Maintain the Accepted Virtual Asset list, oversee blockchain-analytics, and ensure stablecoin/FRT activity meets the latest FSRA requirements.
• Monitoring & testing: Run a risk-based monitoring plan, complete thematic reviews, track remedial actions, and store evidence for FSRA inspections.
• Reg-tech and automation: Specify and integrate KYC/AML engines, Travel-Rule messaging, sanctions screening, and trade-surveillance tools that plug into Alpaca’s APIs.
• Reporting & liaison: File all periodic and ad-hoc FSRA returns on time; act as Alpaca’s single point of contact for onsite reviews and enforcement queries.
• Training & CPD: Deliver annual AML and rules refreshers; keep 100% of staff current on CISI/FSRA CPD and maintain logs for 6 years.
• Incident and breach management: Maintain the breach register, notify FSRA within required timelines, and oversee remediation to closure.

Qualifications

• Bachelor’s in Law, Finance or Business PLUS a recognised compliance credential (e.g., ICA, ACAMS, CISI Global Financial Compliance).
• UAE Financial Rules & Regulations exam (CISI/ADGM Academy).
• CISI Global Financial Compliance (or equivalent).

Requirements

• ≥ 7 years in compliance/AML at a broker-dealer, custodian or VASP, with ≥ 3 years in a senior regulated capacity; clean audit/enforcement record.
• Deep knowledge of GEN, COBS, PRU, AML Rulebook (incl. Travel Rule), and FSRA Virtual-Asset Guidance.
• Full-time, independent function as required by Condition 7.
• Fluent in English and Arabic.

Nice to Haves

• Prior registration as Compliance Officer/MLRO with FSRA, DFSA, SCA or an equivalent top-tier regulator.
• Hands-on with chain-analytics, FATF Travel-Rule gateways and ISO 27001 / NIST cybersecurity frameworks.
• Exposure to cross-border brokerage, stablecoin/FRT programmes or tokenised securities.

Benefits

• 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