Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will lead US compliance programs for spot trading derivatives and tokenized securities. You will manage BSA AML and OFAC controls, maintain policies, oversee monitoring and reporting, coordinate affiliates, address compliance issues, conduct risk assessments, train employees, and support audits and regulatory examinations.
Requirements
- Experience in financial crime BSA AML investigations risk management audit or compliance with digital asset exposure
- Experience managing regulatory examinations and relationships with examiners auditors and banking partners
- Extensive knowledge of the Bank Secrecy Act USA PATRIOT Act OFAC regulations SEC CFTC FINRA and NFA requirements
- Awareness of local US international and industry regulatory standards
- Strong attention to detail organizational problem solving analytical and management skills
- Ability to manage multiple priorities in a fast paced environment
- Bachelor’s degree or equivalent experience
- Active FINRA Series 7 and 24 licenses and Series 3 or willingness to obtain them is preferred
- CAMS CFE CRCM CFCS or related certification is preferred
Responsibilities
- Lead compliance programs for tokenized securities derivatives and spot trading
- Implement BSA AML and OFAC compliance programs
- Maintain risk based BSA AML and OFAC policies and procedures
- Direct compliance monitoring and internal controls
- Coordinate with offshore affiliates
- Oversee regulatory reporting and timely SAR filings
- Ensure adherence to FINRA Rule 3310 and NFA Compliance Rule 2-9(c)
- Prepare management reporting of BSA AML metrics
- Identify escalate track and remediate compliance issues
- Perform BSA AML CIP and OFAC risk assessments
- Maintain required compliance reports and records
- Train employees on financial crime prevention responsibilities
- Refine alert thresholds and transactional monitoring configurations
- Coordinate audits and regulatory examinations
Benefits
- Discretionary annual target bonus
- Performance incentives