Regulatory Compliance Associate

Company: Genesis Global Trading, Inc.
Location: New York, New York, United States
Type: Full-time
Posted: 10.AUG.2021
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About GenesisGenesis is a global leader in institutional digital asset markets. We provide a single point of access for digital asset tradin...


About GenesisGenesis is a global leader in institutional digital asset markets. We provide a single point of access for digital asset trading, derivatives, borrowing, lending, custody and prime brokerage services.Genesis facilitates billions in trades, loans and transactions on a monthly basis. We have a proven track record driving results for some of the largest digital asset-focused hedge funds, quant funds, family offices, VC's, market makers and exchanges.Join Our TeamGenesis is expanding to solve some of the toughest challenges in digital asset financial markets.About This Role - Regulatory Compliance Associate We are currently seeking a motivated and enthusiastic Compliance Associate who will report to the Compliance Chief of Staff. The Compliance Associate will support our existing workflow as it relates to corporate governance, regulatory affairs, administration, and other compliance and regulatory related tasks across the Genesis entities.Responsibilities Coordinate responses to regulatory inquiries, requests, and examinations including outreach to affiliates for data FINRA Central Compliance - Perform tasks to ensure firm compliance with its Written Supervisory Procedures. Be the Compliance team's gatekeeper on all inquiries from staff Update compliance policies and procedures as necessary Work closely with sales and marketing teams to ensure regulatory requirements are understood and adhered to. Provide approval for sales and marketing material ensuring compliance with regulatory requirements Develop strong working relationships with Audit, Legal and other relevant business lines Work with Compliance staff in Singapore and London to ensure compatibility and cohesion with firmwide policies and procedures Proactively identify potential obstacles and resolve efficiently and effectively Manage the employee personal trading certification process by processing personal trading requests, updating policies as necessary, maintaining the certification database, ensuring timely submission, and escalating delinquencies to the CCO Manage the Disclosure of Personal Accounts/Accounts at other Broker-Dealers process by ensuring timely and complete disclosure by all employees, contractors, and consultants Process new submissions, updates, and changes to employees' FINRA Form U-4. Draft and transmit U5 letters for offboarded employees Coordinate the capture and submission of employee fingerprints to FINRA for processing Perform compliance monitoring and surveillance activities Requirements Bachelor's degree in Law/Accounting/Finance or related discipline. Advanced degree preferred At least 5 years experience in Compliance, preferably in a FINRA member firm or SEC regulated organization Quick learner who can adapt well to a fluid regulatory and business environment.Excellent written and oral communication skills including conflict management skills, and experience interacting with business side and senior managementAML Certification (ACAMS) or other AML / Compliance certification preferredFINRA Series 7 required or must be obtained within six months of hireCAMS certification preferredBenefits Comprehensive health, vision, dental and FSA benefits Flexible time off Why GenesisGenesis is dedicated to creating best-in-class infrastructure for institutional investors, developing advanced products that lower barriers, increase profitability and broaden access. Our team has decades of experience at top Wall Street investment banks and Silicon Valley technology firms, and includes leading experts in blockchain, distributed computing, cryptography and cybersecurity.Digital Asset EcosystemGenesis operates at the heart of the digital asset ecosystem: We are a subsidiary of Digital Currency Group (DCG), the largest investor in the bitcoin and blockchain space. We have an unparalleled global network at the intersection of data, finance and technology.Accelerating MomentumOur addressable market is expanding rapidly as new institutional investors enter the space. Recent results include: 300%+ Y/Y trading volume growth 400%+ Y/Y loan origination growth 300%+ Y/Y active loan growth 150%+ Q/Q derivatives transaction growthDiversity And InclusionGenesis invests in creating a welcoming environment where everyone can feel supported and connected at work. We help employees develop a deep understanding of the problems we're trying to solve. We thrive on ideas driven by a broad range of perspectives. We believe diverse teams lead to better products and bigger outcomes.Genesis is an equal opportunity employer. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

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