Head of Compliance
8.0/10
Gemini
$150,500 – $215,000 USD
Remote
lead
27 days ago
cryptofintechweb3
AI Summary
The vacancy is well-structured with clear responsibilities and compensation, but lacks specific tech stack details.
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Description
What you'll do
- •Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- •Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
- •Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
- •Supervise trade and market surveillance across the firm's 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 covering both broker-dealer and FCM activities
- •Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
- •Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
- •Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
- •Review and approve advertising, marketing, and sales materials
Conditions
- •Competitive starting pay
- •A discretionary annual bonus
- •Long-term incentive in the form of a new hire equity grant
- •Comprehensive health plans
- •401K with company matching
- •Paid Parental Leave
- •Flexible time off
Requirements
- •BA/BS degree
- •Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- •10+ years of securities and/or commodities regulatory compliance experience
- •Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- •Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- •Comfort working in a technology-forward environment
- •Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- •Authorization to work in the United States and fluency in English
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