A leading global cryptocurrency exchange and blockchain asset financial service provider seeks a Chief Compliance...
A leading global cryptocurrency exchange and blockchain asset financial service provider seeks a Chief Compliance Officer.
The company's mission is to make investing in alternative assets more efficient and adaptable. The company is committed to providing customers with safe, professional, and honest services based on the core principle of putting the customer first.
This international firm is one of the world's largest digital asset exchanges with an accumulated trading volume of US $1 trillion, and serves more than 5 million users in over 130 countries. The company is now entering the US market, and seeks a Chief Compliance Officer to join the exciting new adventure in US.
The Chief Compliance Officer will be directly responsible for the US compliance functions as they impact all aspects of the business. This includes ensuring that the company's policies and procedures comply with all applicable laws and regulations, that registered representatives understand these policies and that controls and surveillance routines are established and maintained. He/she is also responsible for identifying major risk factors (product, compliance and operational) for the company and developing and coordinating the implementation of strategies to reduce regulatory risk. A broad-based seasoned, experienced, and knowledgeable professional who can hit the ground running is required. Candidate with prior virtual currency exchange experience would be highly preferred.
- You will oversee the US's entire compliance program and grow the compliance team.
- Actively engage with and act as the point of contact for regulators, auditors, and regulatory partners.
- Work with the legal team to analyze regulations and their applicability to products and develop creative solutions.
- Develop and improve record-keeping processes.
- Plan, facilitate and execute all necessary testing and certification of the broker-dealer's supervisory policies and procedures, including taking remediation steps as-needed.
- Monitor, advise and implement all relevant regulatory rule changes.
- Develop and implement comprehensive framework for regulatory compliance and risk - including integration into the digital trading platforms.
- Manage small but growing team of compliance analysts.
- Work directly with regulators and their representatives. Forge strong relationships.
- Direct Anti-money laundering compliance program and ongoing change management.
- Oversee regulatory examinations & internal and external audits.
- Establish and maintain regulatory reporting requirements.
- Provide oversight for the Customer Identification Program, KYC - Due Diligence process, AML Transaction Monitoring, AFC and OFAC Sanctions.
- Coordinate and conduct compliance training for all employees for core areas.
- Advise business teams on compliance and risk.
- Possess ability to thrive in fast-paced Fintech driven environment.
What You Need to Have
- Bachelor's degree or higher, emphasis on digital technology or systems a plus.
- 5+ year experience with financial services compliance, experience in crypto or payments preferred.
- Strong experience in Anti-money laundry regulations and compliance.
- Demonstrated interest in regulatory landscape for cryptocurrency and evolving policy requirements.
- Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
- Excellent project management and organizational skills.
- Ability to deliver results under pressure. Strong critical thinking skills.
- CAMS Certification a strong plus.
- Aptitude for innovation and market change.
- Well-versed in the art of drafting procedures and evaluating internal controls.
- Strong interest in the blockchain space.
- Series 7 and 24 licenses.
- Experience with compliance and/or management of an alternative trading system or national securities exchange strongly preferred.
- Experience working at the SEC and/or FINRA preferred.
- Experience working at a startup preferred.
- Securities law background (JD) preferred.
Please email resumes to Jack Kelly at .