Own and execute day-to-day brokerage operations across OnePay Invest and Crypto, ensuring accurate and compliant trade and asset lifecycle management.
Serve as the designated principal (Series 24) to supervise operations, enforce SEC/FINRA regulations, and lead real-time incident resolution.
Partner with India-based operations lead for continuous coverage, manage core brokerage functions like settlements and ACATS, and drive automation using AI tools.
OnePay is a consumer fintech that provides an all-in-one financial services platform blending banking, savings, credit, investing, and crypto. Backed by Walmart and Ribbit Capital, the company is scaling rapidly with a culture that values speed, low ego, and a drive to fix the broken financial system.
Review and approve marketing materials for FINRA and SEC compliance using the Hadrius tool.
Support new account opening, cash transfer review, and SAR filings.
Assist in maintaining Written Supervisory Procedures and monitoring regulatory developments.
Frec builds tax-aware investment tools to help investors hold onto more of what they earn. They have grown 50% QoQ with over $1B in customer assets, backed by Greylock Partners and other investors.
Assist clients and broker partners as first point of contact on service needs and issues.
Handle brokerage questions across account services, trading, transfers, funding, and operations.
Support ad hoc projects and operational initiatives as assigned by management.
Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and more. With a team of 380+ globally distributed members, they are backed by top-tier investors and serve hundreds of financial institutions across 40 countries.
Leads the broker-dealer supervisory program, ensuring FINRA, SEC, and state regulatory compliance.
Establishes strategic objectives for supervision, oversees supervisory activities, and enhances surveillance programs.
Manages regulatory exam preparation, reporting to leadership, and fostering a culture of compliance.
Horace Mann helps educators protect what they have today and prepare for tomorrow, offering insurance and financial products tailored for educators. Publicly traded on the NYSE, serving over 4,100 school districts nationwide with more than $12 billion in assets.
Own the full sales cycle from outbound prospecting through contract negotiation and close.
Develop relationships with key decision makers at fintechs, broker-dealers, and financial institutions.
Drive new revenue growth for Alpaca's institutional Broker API business across the United States.
Alpaca is a US-headquartered self-clearing broker-dealer and brokerage infrastructure provider for stocks, ETFs, options, crypto, and more. With over $320 million in total investment, we serve hundreds of financial institutions across 40 countries and have a diverse global team of 380+ members.
Deliver white-glove customer service through phone, email, and chat channels.
Drive continuous improvement to the customer service experience by identifying and deploying enhancements.
Expand financial services expertise in equities trading, margin, and options.
Crypto.com is a global cryptocurrency platform founded in 2016, serving over 150 million customers. The company fosters a transformational and proactive working environment, empowering employees to develop innovative solutions and grow from within.