Overview
The firm is an innovative global fintech company focused on digitizing assets on the blockchain. We are the industry-leading digital securities issuance and compliance platform, and our clientele reflect a vast range of asset classes from uniquely impassioned companies. From our inception in November 2017, we’ve been thrilled to watch the effect that blockchain technologies have had on the financial industry, and this movement is anything but slowing down. With offices in San Francisco, New York City, Tel Aviv, and London, we are constantly looking to expand our diverse team with the top talent from both the traditional finance and burgeoning blockchain industries. If you’re passionate and curious about the impact this groundbreaking technology is having on the financial services industry, we want to hear from you.
Senior Compliance Officer
Key Responsibilities:
- Primary responsibility 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.
Qualifications and Requirements :
- 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.
