Chief Compliance Officer, US Regulated Entities (Web3)
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Описание вакансии
TL;DR
Chief Compliance Officer, US Regulated Entities (Web3): Overseeing the full US compliance program across digital-asset exchange, futures/derivatives, and securities business lines with an accent on regulatory framework development and scaling infrastructure. Focus on managing relationships with the SEC, FINRA, CFTC, and NFA, and ensuring adherence to AML/BSA/OFAC obligations.
Location: New York
Salary: $225,000 - $265,000 + discretionary annual target bonus
Company
is an institutionally focused global digital asset platform providing market infrastructure, including the Exchange and CoinDesk indices and data services.
What you will do
- Maintain and enhance the compliance program, policies, and procedures for US Operations, LLC in accordance with federal and state laws.
- Build and lead the US broker-dealer compliance program from the ground up, including WSPs, supervisory controls, and FINRA procedures.
- Establish and administer a CFTC- and NFA-compliant program for derivatives trading and manage NFA registration requirements.
- Oversee AML/BSA/OFAC programs, including KYC onboarding, transaction monitoring, and SAR filing obligations.
- Serve as the primary compliance liaison for regulatory examinations and inquiries from the SEC, FINRA, CFTC, and NFA.
- Build and mentor a high-performing US compliance team while reporting directly to the Global Head of Compliance.
Requirements
- 12+ years of progressive compliance experience in US financial services, with significant senior or CCO-level responsibility.
- Deep knowledge of SEC and FINRA rules for broker-dealers and working knowledge of CFTC and NFA requirements for FCMs.
- Proven experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN.
- Strong understanding of AML/BSA obligations and FinCEN regulatory requirements.
- Must be based in New York.
- Eligibility and willingness to obtain FINRA Series 7, 14, 24 and NFA Series 3 licenses.
Nice to have
- Experience in or deep familiarity with digital-asset or cryptocurrency exchange compliance.
- Active NFA Series 3 and/or FINRA Series 7, 14, 24 licenses.
- Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or FINRA.
Culture & Benefits
- Competitive compensation package including base salary, discretionary annual target bonus, and performance incentives.
- Opportunity to hold a senior leadership role in a fast-evolving global digital asset community.
- Commitment to diversity, integrity, and equal opportunity employment.
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