Compliance Officer — Options Principal (Series 4)

🚴🚴‍♀️ 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 focus on the options business.
• Serve as the Firm's Registered Options Principal (ROP), approving options accounts and supervising options trading activity under FINRA Rule 2360.
• Supervise options 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 options supervision — surveillance tooling, exception-report automation, and account-approval workflows — to keep pace with FINRA's expectations as the business scales
• Participate in customer trade surveillance by reviewing AML and federal securities violation exceptions, including options-specific exception reports (e.g., exercise/assignment activity).
• Support the enhancement of policies and procedures — including the options chapter 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 public-facing communication channels to mitigate firm risk, including approval of options-related communications under FINRA Rule 2220.
• Support brokerage operations functions, including supervisory functions, when needed — including options exercise/assignment processing with our clearing firm.
• Identify areas for improvement, propose solutions, and bring innovation to the compliance program, including options surveillance and exception-report tooling.
• Scale processes to enhance compliance operations, including as the options 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
• Direct experience launching or scaling a listed-options 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 impact and a vision to become Latam's next unicorn 🦄
• Join the Y Combinator community, of which Hapi is part
• Fully remote work, with flexible schedules!
• Work alongside a highly motivated and extraordinary team
• Stock options
• 🚀 And much more!

A meeting lands on your calendar

If they’re a yes, I book the chat. You show up — that’s the whole job-hunt.