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Job Description
Alpaca, a US-based brokerage infrastructure technology company, is seeking a Non-Financial Regulatory Reporting Associate. This is a fully remote position reporting to the Director of Trading Operations and NFRR Manager. The ideal candidate will assist the firm in maintaining compliance with industry regulations.
Role Involves:
- Completing non-financial regulatory reporting tasks.
- Supporting Non-Financial Regulatory Reporting, including CAT, CAIS, Equity Trade Reporting, LOPR, Fixed-Income, and short-interest reporting.
- Keeping procedural documents up to date.
- Optimizing the broker-dealer clearing/correspondent client experience related to regulatory reporting.
- Resolving operational issues related to NFRR.
- Executing processes to maintain and modify Operations practices.
- Establishing relationships with stakeholders across various departments.
- Analyzing data to identify trends and recommend improvements.
Requirements:
- Willingness to learn systems such as Consolidated Audit Trail Implementation (CAT), Large Options Position Reporting (LOPR), Short Interest Reporting, Over the Counter Reporting Facility (OTCRF), Trade Reporting Facility (TRF), and Trade Reporting and Compliance Engine (TRACE).
- Global Markets Operations/Technology experience preferred.
- Understanding of NFRR rules.
- Experience with regulatory programs.
- Strong attention to detail and accuracy.
- Ability to thrive in a fast-paced environment.
- Proficiency in G Suite, Microsoft Office, and MySQL database skills.
Role Offers:
- 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
