Non Financial Regulatory Reporting Manager

February 4

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Alpaca

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Alpaca is a fintech company that provides a comprehensive brokerage and trading platform through a suite of APIs. These APIs enable developers and businesses to integrate algorithmic trading, app development, and embedded investing into their services. Alpaca offers services like trading in US stocks, ETFs, and cryptocurrency with options for local currency transactions. The company is recognized for its cyber security practices and is a member of FINRA and SIPC. Alpaca is ideal for fintech startups, broker-dealers, hedge funds, and other financial services looking to build sophisticated trading applications and platforms with minimal friction through their well-documented Broker API.

Finance • Trading • Fintech • Algorithm Trading • Investing

201 - 500 employees

🔌 API

💳 Fintech

₿ Crypto

📋 Description

• 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.

🎯 Requirements

• 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

🏖️ Benefits

• Competitive Salary & Stock Options • Benefits: Health benefits start on day 1. In the US this includes Medical, Dental, Vision. In Canada, this includes supplemental health care. In Japan, you are offered local benefits. Internationally, this includes a stipend value to offset medical costs. • New Hire Home-Office Setup: One-time USD $500 • Monthly Stipend: USD $150 per month via a Brex Card • Work with awesome hard working people, super smart and cool clients and innovative partners from around the world