Farel
Compliance Officer — Options Principal (Series 4)
3 нед. назад
Страна неизвестнаMiddleRemote
sql
Compliance Officer role focused on options business compliance and supervision at Farel, a fast-growing startup. Fully remote with flexible schedules and stock options.
About the company
- Be part of a fast-growing startup with high impact and a vision to become Latam's next unicorn
- Join the Y Combinator community
- Work alongside a highly motivated and extraordinary team
Responsibilities
- 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
Requirements
- 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
Conditions
- Fully remote work, with flexible schedules
- Stock options
- And much more