Compliance Director (Fintech)

TL;DR

Compliance Director (Fintech): Leading the end-to-end compliance program for a digital asset infrastructure company with an accent on securities regulation, AML/KYC frameworks, and regulatory engagement. Focus on managing broker-dealer and transfer agent compliance, overseeing regulatory exams, and ensuring adherence to SEC and FINRA standards.

Location: Must be based in the US

Salary: Up to $250,000

Company

A digital asset infrastructure company building regulated market systems across broker-dealer, transfer agent, and onchain compliance functions.

What you will do

• Lead broker-dealer, transfer agent, and AML compliance programs.
• Own policies, controls, filings, and regulatory reporting.
• Oversee AML/KYC, monitoring, and investigations.
• Manage regulatory exams and maintain relationships with regulators.
• Advise on compliance across products and business initiatives.

Requirements

• Must be based in the US
• 5+ years of compliance experience in financial services.
• Strong knowledge of SEC and FINRA frameworks.
• FINRA Series 7 and Series 24 required
• Experience with AML programs and regulatory reporting.
• Strong communication and risk management skills.

Nice to have

• Broker-dealer or securities experience.