Job description
Who We Are:
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.”
Your Role:
This is an opportunity to join a Fintech firm specializing in many facets of the broker-dealer space. You will help our team by focusing on Non-Financial Regulatory Reporting. The team is 100% distributed and remote. The role will be reporting directly to the Director of Trading Operations and NFRR Manager.
Things You Get To Do:
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
Keep procedural documents up to date to comply with securities regulatory reporting obligations
Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
Serves as an escalation point to resolve broad and complex operational issues related to NFRR
Execute the processes to establish, maintain, review, test, and modify Operations practices.
Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
Big data analysis and assessment to discover trends and recommend improvements.
Perform other duties and responsibilities as assigned.
Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or training to complete non-financial regulatory reporting and assist the firm in maintaining proper compliance with industry/firm rules and regulations’
Act as supporting Associate on Non-Financial Regulatory Reporting. This includes CAT, CAIS, Equity Trade Reporting, LOPR, , Fixed-Income and short-interest reporting.
Keep procedural documents up to date to comply with securities regulatory reporting obligations
Optimizing the broker-dealer clearing/correspondent client experience as it relates to ongoing regulatory reporting obligations
Serves as an escalation point to resolve broad and complex operational issues related to NFRR
Execute the processes to establish, maintain, review, test, and modify Operations practices.
Establish credible, collaborative, and influential relationships with key stakeholders across Operations, Engineering, Sales, Solutions, Product, and Compliance
Big data analysis and assessment to discover trends and recommend improvements.
Perform other duties and responsibilities as assigned
A successful candidate must be willing to learn in-the-weeds knowledge on the below-named systems:
Consolidated Audit Trail Implementation (CAT): BA work mapping firm functions to reporting scenarios and reporting UAT testing. Obtaining strong knowledge of account structures to assist with CAT CAIS implementation and testing is desired.
Large Options Position Reporting (LOPR): Strong familiarity with daily operations of Large Option Position Reporting to the Options Clearing Corporation
Short Interest Reporting: Understanding of the Short Interest Reporting rules and FINRA reporting system.
Over the Counter Reporting Facility (OTCRF) and Trade Reporting Facility (TRF): Ability to create and submit trade reports and implement regulatory rule changes.
Trade Reporting and Compliance Engine (TRACE): Over-the-Counter bond market trades reporting system.
Global Markets Operations/Technology experience preferred
Understanding of NFRR rules
Experience with regulatory programs
Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment
Expert ability to improve the capabilities of production monitoring processes and corporately through skill development, process enhancement
Ability to collaborate and work effectively in a remote team environment
Must possess the ability to adapt to a changing business and regulatory environment
Enjoys challenges and taking ownership of new responsibilities
Self-starter takes initiative
Must be proficient in G Suite, and Microsoft Office (Outlook, Work, Excel, Powerpoint) and MySQL database skills
How We Take Care of You:
- 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
Alpaca is proud to be an equal opportunity workplace dedicated to pursuing and hiring a diverse workforce.
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