Chief Compliance Officer (Web3)

Chief Compliance Officer

Company

Grayscale

Conditions

5 days ago Head Stamford, USA Onsite Other Jobs by Grayscale

Grayscale Grayscale is a leading crypto asset manager. Stamford, USA About Grayscale Grayscale is a crypto asset manager that offers products such as the Grayscale Bitcoin Covered Call ETF (ticker: BTCC), Grayscale Bitcoin Premium Income ETF (ticker: BPI), and Grayscale Bitcoin Adopters ETF (ticker: BCOR). Investing in their products involves risk and possible loss of principal. View jobs by Grayscale

Skills

Procedure Etf Securities Regulatory Examination Team Leadership Finance Audit Compliance Control Blockchain Policy Training Risk Regulator Cryptocurrency Governance

About the Role

You will design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act registered fund obligations, including policies, procedures, testing, and supervisory controls. You will monitor proposed SEC, FINRA, NFA, and CFTC rulemaking and translate regulatory developments into timely, actionable policy updates and business guidance. You will assess compliance risk for all new products, funds, vehicles, and business lines, delivering clear risk assessments and recommended controls. You will oversee the marketing compliance and vendor due diligence programs, empowering team members to lead day-to-day execution. You will serve as the primary point of contact for the SEC, FINRA, and NFA, managing examination logistics, document productions, and regulator communications. You will maintain proactive regulatory relationships, ensuring audit-ready documentation at all times, and keeping the CLO apprised of open matters and remediation status. You will build and sustain a firm-wide culture of compliance, providing practical training across the organization. You will partner with Legal, Finance, Product, and Distribution to identify compliance requirements at the outset of new initiatives. You will advise business stakeholders on complex and emerging compliance risk scenarios, delivering clear, practical recommendations. You will hire, manage, and develop a growing compliance team, establishing clear performance expectations and career pathways while maintaining a hands-on, player/coach presence.

Requirements

• 15+ years of compliance experience in financial services with senior leadership responsibility.
• Hands-on working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and applicable SEC, FINRA, NFA, and CFTC regulations.
• Proven track record of leading regulatory examinations and managing ongoing relationships with the SEC, FINRA, and/or NFA.
• Experience building and developing a compliance team of 5 or more professionals.
• Ability to deliver accurate, direct, and commercially practical compliance guidance under time pressure.
• FINRA Series 7 and Series 24 licenses required.
• Experience with digital assets, cryptocurrency products, blockchain technology, and the evolving US regulatory framework governing digital asset managers.
• Background working in a high-growth or scaling firm where compliance programs were built or significantly expanded.
• J.D. or advanced degree in a relevant discipline.
• Experience with ETFs, statutory trusts, or other registered products in novel or emerging asset classes.

Responsibilities

• Design, implement, and maintain a comprehensive compliance program covering RIA, B/D, and 40 Act registered fund obligations, including policies, procedures, testing, and supervisory controls.
• Monitor proposed SEC, FINRA, NFA, and CFTC rulemaking and translate regulatory developments into timely policy updates and business guidance.
• Assess compliance risk for new products, funds, vehicles, and business lines, delivering clear risk assessments and recommended controls.
• Oversee the marketing compliance and vendor due diligence programs, setting standards and maintaining accountability for outcomes.
• Serve as the primary point of contact for the SEC, FINRA, and NFA, managing examinations, document productions, and regulator communications.
• Maintain proactive regulatory relationships, ensuring audit-ready documentation and timely remediation status.
• Build and sustain a firm-wide culture of compliance and provide practical training across the organization.
• Partner with Legal, Finance, Product, and Distribution to identify compliance requirements at the outset of new initiatives.
• Advise business stakeholders on complex and emerging compliance risk scenarios with clear practical recommendations.
• Hire, manage, and develop a growing compliance team with clear performance expectations and career pathways.

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