Head Of Compliance (Web3)

TL;DR

Head of Compliance (Web3): Leading the broker-dealer and future commission merchant compliance program for a global crypto platform with an accent on federal securities and commodities regulation. Focus on overseeing supervisory operations, managing regulatory filings, and ensuring compliance across listed securities and derivatives.

Location: Required to be in person twice a week at the New York City, NY office

Salary: $150,500 - $279,500 base

Company

A global crypto and Web3 platform bridging traditional finance with the emerging cryptoeconomy to provide secure access to the decentralized future.

What you will do

• Lead the development and execution of the broker-dealer and FCM compliance programs.
• Oversee daily customer segregation computations and associated regulatory filings.
• Supervise trade and market surveillance for securities and derivatives products.
• Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries.
• Maintain the firm's AML program and implement Written Supervisory Procedures.
• Collaborate with technology, product, and legal teams to ensure trading system operations meet regulatory expectations.

Requirements

• Authorization to work in the United States.
• Fluency in English.
• Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days).
• 10+ years of securities and/or commodities regulatory compliance experience.
• Deep expertise in broker-dealer and/or FCM operations and associated regulatory frameworks.
• BA/BS degree.

Nice to have

• Advanced degree or certifications such as JD or MBA.
• Familiarity with virtual currencies, digital transfer platforms, and ATS.
• Experience with surveillance and supervision at a multi-registrant firm.

Culture & Benefits

• Competitive base salary and discretionary annual bonus.
• Long-term incentive via a new hire equity grant.
• Comprehensive health plans and 401K with company matching.
• Paid parental leave and flexible time off.
• Hybrid work approach balancing in-person collaboration with remote flexibility.