Compliance Officer — Options Principal (Series 4)

About Hapi:

Hapi is a leading US investment platform for clients from Latin America.

We want to democratize access to investments, enable anyone to buy, sell and hold stocks, ETFs, and cryptocurrencies, start in minutes, with no minimums and low to no commissions .

Is Hapi the right company for you? Only if:

• You want to make a great impact on people's lives
• You want to learn and work with the latest technologies
• You want to work on a platform that is used by thousands and will be used by millions soon
• You can handle work under high pressure and at a fast pace
• You like a fast-growing company where there is a need for creation, adaptation, and improvement, which brings professional growth
• You can handle a dynamic and ever-evolving work environment
• You want to work for a company where you can hold shares

Are you the person for the role?

• 3+ years of experience in compliance or brokerage operations at a US broker-dealer, with direct exposure to a listed-options business; FinTech experience is a plus
• Active FINRA Series 4 (Registered Options Principal) license required, plus Series 7 and Series 24; Series 63 a plus
• Working knowledge of FINRA Rule 2360 (options account approval, ongoing supervision, exercise/assignment, and options-complaint record keeping) and Rule 2220 (options communications review)
• Experience with day-to-day brokerage or front-office operations, AML surveillance, and/or complaint management
• Experience with margin and options - ideally through a live product rollout, not just a mature book of business
• A team player who is willing to jump in and help others

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!