Own the trading operations and supervisory framework, providing licensed principal oversight and managing operational controls, reconciliations, and escalations.
Lead trade surveillance and operational control frameworks, including supervisory reviews, pre- and post-trade controls, and best execution monitoring.
Manage trading-related reporting obligations, including CAT, CAIS, and TRACE, and serve as the operational escalation point for trade errors and settlement issues.
Provide high-quality support to enterprise-level clients on order entry, execution, and trading issues.
Monitor client trading activity for anomalies and stay informed on market developments and corporate actions.
Collaborate with trading desks, IT, and compliance teams to resolve issues and ensure regulatory compliance.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure, offering APIs for stocks, ETFs, options, crypto, and more to financial institutions across 40 countries. With 400+ team members globally, they are a diverse, remote-first group committed to open-source and opening financial services to everyone.
Review, prepare, and resolve complex account work, including entity accounts and correspondent partners.
Process and support day-to-day accounts workflow, including onboarding, maintenance, and lifecycle changes.
Execute monthly statement and trade confirmation reviews and lead legacy cleanup projects.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and 24/5 trading. Our global team of over 400 members is diverse and backed by $400 million in funding, fostering a culture of curiosity, empathy, and accountability.
Provide real-time advisory compliance support to trading, development, and operations teams across all regions.
Oversee core compliance functions including trade surveillance, regulatory filings, AML/sanctions, and policy training.
Lead and develop two Compliance Officers while representing compliance in cross-functional discussions.
BHFT is a proprietary algorithmic trading firm that manages the full trading cycle from software development to strategy execution across multiple asset classes. With a team of 200+ professionals, 70% of whom are technical specialists, we operate as a 100% remote organization with a culture of clarity and transparency.
Process and support day-to-day accounts workflow including onboarding, maintenance, updates, and closures.
Fully own escheatment and abandoned property operations and monthly statement review.
Execute legacy cleanup and data hygiene projects to meet compliance requirements.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, and more. With a team of over 400 globally distributed members, we foster a diverse and dynamic culture committed to open-source contributions and innovation.
Assist clients and broker partners by being the first point of contact on service needs and issues.
Process operational requests such as funds distributions, journals, account updates, and ACATs initiation.
Research and resolve client issues related to forms, transfers, and other operational items.
Alpaca is a US-headquartered, global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and 24/5 trading. The company is backed by $400 million in funding and has a global team of 400+ members.
Daily surveillance and operational tasks for trading and cash management.
Cryptocurrency trade execution monitoring and account management.
Support AML program and drive impactful changes across workflows.
Alpaca is a US-headquartered global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, fixed income, and more. They have a diverse team of 400+ members worldwide and are backed by $400 million in funding.
Design and execute the annual compliance testing program for the broker-dealer and RIA, including FINRA 3110 and SEC 206(4)-7.
Act as a key contact during regulatory examinations, managing data requests and supporting internal investigations.
Maintain policies and procedures inventory, including Written Supervisory Procedures, and assist with regulatory filings.
Mercury is a fintech company building banking and financial infrastructure for startups, offering services through partner banks. The company values compliance as a foundation for trust and growth, fostering a collaborative and diverse work environment.
Own end-to-end global equity settlement, partnering with custodians and counterparties to ensure timely and accurate settlement across international markets.
Investigate and resolve trade mismatches, settlement exceptions, and reconciliation breaks, escalating complex issues to the Director of Brokerage Operations.
Support automation initiatives, leveraging SQL and AI tools, and ensure compliance with SEC, FINRA, and global market regulations.
Alpaca is a global leader in agent-first brokerage infrastructure for stocks, ETFs, options, crypto, and more, serving hundreds of financial institutions across 40 countries. With a diverse team of 400+ globally distributed members, Alpaca fosters a culture of curiosity, empathy, and accountability.
Provide expert trading support to alternative asset firm and family office clients.
Advise on trade life cycle management, including booking, settlement, and problem resolution.
Assist with regulatory compliance and onboarding of counterparties and trading systems.
Arootah is a talent solutions firm purpose-built for the alternative investment industry, providing full-spectrum talent services from entry to exit. With a team of experienced operators from hedge funds and private equity firms, and a network of 700+ vetted advisors, they deliver credible advice and reliable execution.
Own the acquisition, advocacy, and retention of high-volume options traders through internal and outbound channels.
Act as the link between product and trader community, evangelizing AI Agents and options tooling.
Work independently with autonomy to bring sophisticated options flow to the platform while meeting regulatory compliance.
Public is building the Agentic Brokerage for serious investors who use AI and diverse asset classes to build their portfolios. Launched in 2019, it has been trusted with billions of dollars in assets from retail investors.