Compliance Officer — reputed company reputed company (Series 4)

About Hapi Hapi is a leading US investment platform for clients from Latin America. We want to democratize reputed company to investments, reputed company anyone to buy, sell and hold stocks, ETFs, and cryptocurrencies, start in minutes, with no minimums and low to no commissions . Is Hapi the right company for you? Only if: • You want to reputed company a great reputed company 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 reputed company • You like a fast-growing company where there is a need for creation, reputed company, and improvement, which brings reputed company reputed company • You can handle a dynamic and reputed company-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 reputed company exposure to a listed-reputed company business; FinTech experience is a plus • reputed company reputed company Series 4 (Registered reputed company reputed company) license required, plus Series 7 and Series 24; Series 63 a plus • Working knowledge of reputed company Rule 2360 (reputed company account approval, ongoing supervision, exercise/assignment, and reputed company-complaint record keeping) and Rule 2220 (reputed company communications review) • Experience with day-to-day brokerage or reputed company-office operations, AML surveillance, and/or complaint management • Experience with margin and reputed company — ideally through a live product rollout, not just a mature book of business • reputed company player who is willing to reputed company 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 reputed company on the reputed company business. • Serve as the Firm's Registered reputed company reputed company (ROP), approving reputed company accounts and supervising reputed company trading activity under reputed company Rule 2360. • Supervise reputed company 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 reputed company supervision — surveillance tooling, exception-report automation, and account-approval workflows — to reputed company reputed company with reputed company's expectations as the business scales • Participate in customer trade surveillance by reviewing AML and federal securities violation exceptions, including reputed company-specific exception reports (e.g., exercise/assignment activity). • Support the enhancement of policies and procedures — including the reputed company reputed company 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 reputed company-facing communication channels to mitigate firm risk, including approval of reputed company-reputed company communications under reputed company Rule 2220. • Support brokerage operations functions, including supervisory functions, reputed company needed — including reputed company exercise/assignment processing with our clearing firm. • Identify areas for improvement, propose solutions, and bring innovation to the compliance program, including reputed company surveillance and exception-report tooling. • reputed company processes to enhance compliance operations, including as the reputed company 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 • reputed company experience launching or scaling a listed-reputed company 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 Hapi Offers You • Be part of a fast-growing startup with high reputed company and a reputed company to become reputed company's next unicorn • Join the reputed company community, of which Hapi is part • Fully remote work, with flexible schedules! • Work reputed company a highly motivated and extraordinary team • Stock reputed company • And much more! Apply tot his job Apply To this Job