Compliance Officer

😁🎉 About Hapi

Hapi is the 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 in 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 working in compliance or brokerage operations roles at a US broker-dealer; FinTech experience is a plus
• Series 7, Series 63, and Series 24 (preferred) licenses
• Experience with day-to-day brokerage or front-office operations, AML surveillance, and/or complaint management.
• Experience with margin and/or options
• 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.
• Participate in customer trade surveillance by reviewing AML and federal securities violation exceptions
• Support the enhancement of policies and procedures, 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.
• Support brokerage operations functions, including supervisory functions, when needed.
• Identify areas for improvement, propose solutions, and bring innovation to the compliance program.
• Scale processes to enhance compliance operations.
  
  

❤️‍🔥 We’d love you even more if you have:

• Experience working at or with a Carrying or Clearing Broker-Dealer
• Experience with FinTechs
• Experience setting up new products
• 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!