Non-Financial Regulatory Reporting Associate

Summary

Join Alpaca, a leading Fintech firm, as a Non-Financial Regulatory Reporting Associate. This fully remote role involves supporting the team in maintaining compliance with industry regulations. You will handle various reporting tasks, including CAT, CAIS, Equity Trade Reporting, LOPR, Fixed-Income, and short-interest reporting. The position requires strong attention to detail, proficiency in various systems, and the ability to collaborate effectively in a remote environment. Alpaca offers competitive compensation, including stock options, and comprehensive benefits starting on day one.

Requirements

• Must be willing to learn in-the-weeds knowledge on the below-named systems
• 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

Responsibilities

• 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

Preferred Qualifications

• Global Markets Operations/Technology experience preferred
• Understanding of NFRR rules
• Experience with regulatory programs

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