Non Financial Regulatory Reporting Associate

Remote - Philippines

Who We Are:

Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent Series C funding round brought our total investment to over $170 million, fueling our ambitious vision.

Amongst our subsidiaries, Alpaca is a licensed financial services company, serving hundreds of financial institutions across 40 countries with our institutional-grade APIs. This includes broker-dealers, investment advisors, wealth managers, hedge funds, and crypto exchanges, totalling over 6 million brokerage accounts.

Our global team is a diverse group of experienced engineers, traders, and brokerage professionals who are working to achieve our mission of opening financial services to everyone on the planet. We're deeply committed to open-source contributions and fostering a vibrant community, continuously enhancing our award-winning, developer-friendly API and the robust infrastructure behind it.

Alpaca is proudly backed by top-tier global investors, including Portage Ventures, Spark Capital, Tribe Capital, Social Leverage, Horizons Ventures, Unbound, SBI Group, Derayah Financial, Elefund, and Y Combinator.

 

Our Team Members:

We're a dynamic team of 230+ globally distributed members who thrive working from our favorite places around the world, with teammates spanning the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and beyond!

We're searching for passionate individuals eager to contribute to Alpaca's rapid growth. If you align with our core values—Stay Curious, Have Empathy, and Be Accountable—and are ready to make a significant impact, we encourage you to apply.

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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