Compliance Officer — Options Principal (Series 4)

Compliance Officer — Options Principal (Series 4)

Job type: Full-time

Role: Legal

Experience: 3+ years

Location: Remote

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.

What we'd love you to 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 you’ll do

• Assist the 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
• Partner with Product and Engineering on the technology roadmap for options supervision
• Participate in customer trade surveillance and review AML/federal violation exceptions
• Support policies and procedures and regulatory examinations
• Triage and log customer complaints and conduct escalation investigations
• Approve options-related communications under FINRA Rule 2220
• Support brokerage operations functions, including supervisory functions and clearing-firm interactions
• Identify improvements and bring innovation to the compliance program
• Scale processes as the options product expands

Benefits & perks

• Be part of a fast-growing startup with high impact and a vision to become Latam's next unicorn
• Join the Y Combinator community
• Fully remote work, with flexible schedules
• Stock options
• Work alongside a highly motivated and extraordinary team
• And much more