Director, US Broker-Dealer Compliance

🕒 Abril 30

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $230.000 - $280.000 / ano

⏰ Tempo Integral

🔴 Especialista

🚔 Conformidade

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Crypto.com

SiteLinkedInTodas as Vagas

1001 - 5000 funcionários

Fundada em 2016

₿ Cripto

💳 Fintech

🔐 Segurança

Crypto • Fintech • Security

Crypto. com é uma plataforma de criptomoedas que oferece uma variedade de serviços, incluindo negociação, carteiras digitais e soluções de pagamento. A plataforma permite que os usuários comprem, vendam e gerenciem uma ampla gama de criptomoedas. Conhecido por sua interface amigável e aplicativo móvel abrangente, o Crypto. com visa tornar a criptomoeda acessível a todos. Ele também oferece um programa de recompensas através de seu cartão Visa, que dá aos usuários cashback em criptomoedas nas compras, integrando-se perfeitamente ao dia a dia.

Descrição

• Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting • Prepare and submit regulatory filings including Forms U4, U5, Form BD, Form BR, CMA and MatCon • Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations • Manage FINRA Rule 4530 Reporting and respond to all regulatory inquiries in a timely and organized manner • Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards • Support Margin and Options compliance and risk management • Support the NH Trust Custody program, including IRA-related compliance matters • Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes • Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations

🎯 Requisitos

• Experience with Broker-Dealer compliance, and prior interaction with FINRA and the SEC • FINRA registration required, including fingerprinting; Series 7 and Series 24 are required, Series 4 is strongly preferred • Strong organizational skills with the ability to manage a broad scope of responsibilities independently • Comfortable working across teams and communicating directly with state and federal regulators • Familiarity with trust custody compliance and IRA regulations is a plus.

🏖️ Benefícios

• Competitive salary • Attractive annual leave entitlement including: birthday, work anniversary • 401(k) plan with employer match • Eligible for company-sponsored group health, dental, vision, and life/disability insurance • Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up • Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.