Compliance Officer — Options Principal (Series 4)

Другое

• 😁🎉 About Company:
• Company is a leading US investment platform for clients from Latin America.
• We want to democratize access to investments, enable anyone to buy, sell and hold stocks, ETFs, and cryptocurrencies, start in minutes, with no minimums and low to no commissions 🚀📈. 🦄🚀 Is Company the right company for you? Only if:
• You want to make a great impact on people's lives
• You want to learn and work with the latest technologies
• You want to work on a platform that is used by thousands and will be used by millions soon
• You can handle work under high pressure and at a fast pace
• You like a fast-growing company where there is a need for creation, adaptation, and improvement, which brings professional growth
• You can handle a dynamic and ever-evolving work environment
• You want to work for a company where you can hold shares
• ‍👩‍💻👨‍💻 Are you the person for the role?
• 3+ years of experience in compliance or brokerage operations at a US broker-dealer, with direct exposure to a listed-options business; FinTech experience is a plus
• Active FINRA Series 4 (Registered Options Principal) license required, plus Series 7 and Series 24; Series 63 a plus
• Working knowledge of FINRA Rule 2360 (options account approval, ongoing supervision, exercise/assignment, and options-complaint record keeping) and Rule 2220 (options communications review)
• Experience with day-to-day brokerage or front-office operations, AML surveillance, and/or complaint management
• Experience with margin and options — ideally through a live product rollout, not just a mature book of business
• A team player who is willing to jump in and help others
• 🚴🚴‍♀️ About the role:
• Assist the Chief Compliance Officer (CCO) with enhancements to the Firm's compliance program as new features and products are launched, with a focus on the options business.
• Serve as the Firm's Registered Options Principal (ROP), approving options accounts and supervising options trading activity under FINRA Rule 2360.
• Supervise options exercise and assignment processing in coordination with Apex Clearing, including allocation-method disclosures, cutoff-time adherence, and exception handling
• Partner with Product and Engineering on the technology roadmap for options supervision — surveillance tooling, exception-report automation, and account-approval workflows — to keep pace with FINRA's expectations as the business scales
• Participate in customer trade surveillance by reviewing AML and federal securities violation exceptions, including options-specific exception reports (e.g., exercise/assignment activity).
• Support the enhancement of policies and procedures — including the options chapter of the Firm's WSPs — and support the CCO with regulatory examinations.
• Conduct, review, and appropriately triage customer complaints, including customer complaint logging and escalation investigation.
• Monitor public-facing communication channels to mitigate firm risk, including approval of options-related communications under FINRA Rule 2220.
• Support brokerage operations functions, including supervisory functions, when needed — including options exercise/assignment processing with our clearing firm.
• Identify areas for improvement, propose solutions, and bring innovation to the compliance program, including options surveillance and exception-report tooling.
• Scale processes to enhance compliance operations, including as the options product rolls out and grows.
• ❤️‍🔥 We'd love you even more if you have:
• Experience at or with a Carrying or Clearing Broker-Dealer, ideally Apex Clearing
• Direct experience launching or scaling a listed-options product at a broker-dealer or fintech, including exercise/assignment operations and clearing-firm connectivity
• Experience with surveillance or exception-report tooling (e.g., building or configuring dashboards, working with SQL/data teams)
• Experience setting up new products at a FinTech
• Proficient in Spanish
• Fun to work with
• 🎁 What Company offers you:
• Be part of a fast-growing startup with high impact and a vision to become Latam's next unicorn 🦄
• Join the Y Combinator community, of which Company is part
• Fully remote work, with flexible schedules!
• Work alongside a highly motivated and extraordinary team
• Stock options
• 🚀 And much more!