Senior Compliance Officer & Advertising Analyst jobs in United States
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Hapi App · 6 hours ago

Senior Compliance Officer & Advertising Analyst

positionUnited States
timeFull-time
remoteRemote
senioritySenior Level

Hapi Securities, LLC is seeking a Senior Compliance Officer to support the Chief Compliance Officer in overseeing the firm’s compliance program and regulatory obligations. This role involves working closely with senior leadership to ensure compliance while supporting the firm’s growth and product expansion.

FinTechStock ExchangesTrading Platform
Hiring Manager
Steven Eng
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Responsibilities

Support the CCO in the supervision and administration of the firm’s day-to-day compliance operations and overall compliance program
Assist in ensuring the firm’s compliance with applicable SEC, FINRA, and other regulatory requirements
Conduct and support reviews of advertising, marketing materials, and external communications, as applicable
Partner with the CCO and senior leadership to support the compliant development and launch of new financial and technology products, including options
Provide compliance guidance to management on enhancements to business operations, internal controls, policies, procedures, and compliance tools
Monitor regulatory developments and assist in identifying, assessing, and advising on emerging compliance risks
Support regulatory inquiries, examinations, internal reviews, and compliance documentation, as needed

Qualification

Series 7Series 24Broker-dealer complianceSEC rules knowledgeFINRA rules knowledgeSound judgmentAttention to detailCross-functional teamwork

Required

Series 7 and Series 24 required (active or eligible to be registered)
Prior experience in broker-dealer compliance or regulatory supervision required
Strong working knowledge of SEC and FINRA rules
Demonstrated sound judgment, strong attention to detail, and ability to operate effectively in a fast-paced, evolving environment
Experience working with senior leadership and cross-functional teams

Preferred

Series 4 (Registered Options Principal) a plus / nice to have, particularly as the firm expands options offerings
Experience with complex or higher-risk products preferred

Company

Hapi App

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Hapi is a stock trading app with zero commission and no minimums focused in Latam.
dateFounded in 2020
location
Delaware City, Delaware, USA
people-size11-50 employees
web-link
https://hapi.trade/

Funding

Current Stage
Early Stage
Total Funding
$2M
Key Investors
UTEC Ventures
2023-07-01Seed
2021-04-13Seed· $2M
2020-09-15Non Equity Assistance

Leadership Team

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Dusko Kelez
Founder & CEO
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Recent News

contxto.com
Hapi, Peruvian startup, raises USD $1.6 million to democratize the stock market in LatAm.
2025-07-11
UTEC Ventures
UTEC Ventures - Portfolio
2025-02-19
Al Día News
Hapi, the app that seeks to be the "Robinhood" of Latam
2025-02-04
Company data provided by crunchbase