An innovative global FinTech company focused on digitizing assets on the blockchain seeks a Compliance Officer for their growing New York City office. The company is an industry-leading digital securities issuance and compliance platform.
This is a young, dynamic and growing company. This opportunity is perfect for someone who sees the long-term potential in FinTech and desires a career in this space. You should also be comfortable working in an entrepreneurial environment. You’ll take on a lot of challenges and responsibilities. It will be a small team in NYC. I recognize that this opportunity isn’t appropriate for everyone. If you are more comfortable wearing a conservative business suit, operating within a large faceless bureaucracy, keeping your head down, and punching a clock, then this might not be the right fit.
What You Will Do
- You will be responsible for the design, implementation, and maintenance of the compliance program for the Company’s transfer agent function.
- Advise product teams on compliance services, features, and requirements, and work with development and product teams to build out compliance processes (both automatic and manual).
- Communication of significant issues to management; make recommendations when weaknesses are identified.
- Prepare and respond to regulatory enquiries and manage examinations.
- Advise on marketing and public communications.
- Research and report on regulatory developments and make suggestions with respect to related compliance policy and procedure enhancements.
The Qualifications We’re Looking For In A Candidate
- 5+ years of professional compliance experience at a bank, broker-dealer, transfer agent or a regulated FinTech company.
- Extensive knowledge of federal securities laws.
- Experience with OFAC and AML compliance; FATCA and tax rules experience a plus.
- Deep interest in the regulatory landscape for digital securities, blockchain and evolving policy requirements.
- A business mindset with a drive to find solutions that allow business and market share growth in a prudent and long-term-oriented approach.
- The ability to explain regulations to non-legal personnel in a concise and effective manner and work with developers to ensure regulatory compliance at the product level.
- Willingness to roll up sleeves to handle and resolve operational gaps and challenging initiatives. Strong organization and attention to detail and ability to work in small teams.
- Previously managed regulatory affairs and led government relations for a company.
- Based in New York.
- B.A/B.S. JD a plus, but not necessary.
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com