Non Financial Regulatory Reporting Associate

3 weeks ago

Manila, National Capital Region, Philippines Alpaca Full time
Non Financial Regulatory Reporting Associate

Join to apply for the Non Financial Regulatory Reporting Associate role at Alpaca.

About Us

Alpaca is a US California headquartered brokerage infrastructure technology company and self-clearing broker-dealer, delivering execution and custody solutions for Stocks, ETFs, Options, Cryptocurrencies, and more. We have raised over $170 million in funding and serve hundreds of financial institutions globally, including broker-dealers, investment advisors, hedge funds, and crypto exchanges. Our team is diverse, with members across the USA, Canada, Japan, Hungary, Nigeria, Brazil, the UK, and more, committed to our mission of opening financial services to everyone.

Role Overview

This remote, distributed role reports to the Director of Trading Operations and NFRR Manager. You will focus on Non-Financial Regulatory Reporting within a fintech firm specializing in broker-dealer operations.

Responsibilities
  • Complete non-financial regulatory reports such as CAT, CAIS, Equity Trade Reporting, LOPR, Fixed-Income, and short-interest reporting with minimal supervision.
  • Maintain procedural documentation to ensure compliance with securities reporting obligations.
  • Enhance broker-dealer client experience related to regulatory reporting.
  • Resolve operational issues related to NFRR as an escalation point.
  • Establish and review operational practices, perform data analysis, and recommend improvements.
  • Build collaborative relationships with stakeholders across departments.
  • Learn system-specific knowledge, including CAT, LOPR, Short Interest Reporting, OTCRF, TRF, and TRACE.
  • Adapt to changing regulatory environments and work effectively in a remote team.
Qualifications
  • Willingness to learn detailed system processes and rules.
  • Experience with global markets operations and regulatory programs preferred.
  • Strong attention to detail, accuracy, and reliability.
  • Proficiency in G Suite, Microsoft Office, and MySQL.
  • Ability to adapt, take ownership, and collaborate remotely.
Benefits
  • Competitive salary & stock options
  • Health benefits
  • Home-office setup allowance
  • Monthly stipend via Brex Card

Alpaca is an equal opportunity workplace committed to diversity. Recruitment Privacy Policy applies.

Additional Details
  • Seniority level: Entry level
  • Employment type: Full-time
  • Job function: Legal
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