Compliance Director

Vaga não está no LinkedIn

🕒 Julho 27

🇺🇸 Estados Unidos – Remoto (EUA)

⏰ Tempo Integral

🔴 Especialista

🚔 Conformidade

👻 Score fantasma 54%

O que significa: quão provável esta vaga está aberta sem contratação ativa.Como ler: 60% ou mais significa que achamos que é uma vaga fantasma. Pontuações mais baixas preocupam menos.Como pontuamos: tempo em aberto, republicações, vagas abertas vs tamanho do time, rapidez para fechar vagas, e se o salário está divulgado.Observação: é uma estimativa de dados públicos, não um julgamento da empresa. Vagas reais podem ter pontuação alta, então use como uma dica, não como um fato.

Candidatar-se

Encontrar Vagas Remotas Similares

Configurar Alerta de Email para Novas Vagas

📊 Verifique sua pontuação de currículo para esta vaga

Melhore suas chances de conseguir uma entrevista verificando sua pontuação de currículo antes de se candidatar.

Enviar Currículo

Kimber

SiteLinkedInTodas as Vagas

11 - 50 funcionários

Fundada em 2024

🤖 Inteligência Artificial

☁️ SaaS

🤝 B2B

Artificial Intelligence • SaaS • B2B

A Kimber é uma empresa de engenharia de IA liderada por arquitetura, localizada em Dublin, Irlanda. Ela faz parcerias com startups e empresas em crescimento para arquitetar, construir e expandir software inteligente. Eles oferecem serviços completos, incluindo aplicações nativas de IA (RAG, agentes, orquestração de modelos), plataformas SaaS multi-tenant, infraestrutura de dados e IA (pipelines, feature stores, servimento de modelos) e modernização de plataformas de legados para cloud-native. A Kimber oferece um produto chamado KimberCloud e aproveita as capacidades do AWS Premier Tier; proporciona observabilidade, autoscalamento e engenharia focada em produção com um processo de entrega em seis fases liderado por arquitetura. Seus clientes-alvo são equipes que necessitam de sistemas de IA confiáveis e escaláveis em produção e eles enfatizam equipes pequenas e sêniores, arquiteturas cloud-native, seguras e resilientes, e desenvolvimento iterativo mensurável.

Descrição

• Develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume’s public blockchain-based broker-dealer operations. • Assist in drafting and negotiating materials in connection with Form BD submission. • Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities, and update firm practices accordingly. • Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues. • Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program, including suspicious activity reporting and customer due diligence. • Serve as KDAB’s AML/Compliance Director, owning its DABA-mandated AML/ATF program, including the risk assessment, customer due diligence, ongoing transaction monitoring, sanctions and PEP screening, suspicious transaction reporting to the Financial Intelligence Agency, and freeze/seize procedures, and act as the primary point of contact for the BMA on AML/ATF supervision. • Ensure compliance with transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, covering recordkeeping, safekeeping of securities, and timely processing of transfers and issuances. • Provide compliance training and guidance to employees, including sales, trading, and operations teams. • Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports. • Collaborate with senior management to integrate compliance considerations into business strategies and product development, particularly in US digital asset offerings. • Investigate and resolve compliance-related incidents, including client complaints and ethical concerns. • Maintain accurate records of compliance activities and prepare reports for the Board of Directors and executive leadership. • Stay abreast of industry best practices and emerging risks in areas like cybersecurity, data privacy, and digital assets compliance.

🎯 Requisitos

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred. • Minimum of 5 years of experience in compliance roles within the financial services industry, with direct exposure to broker-dealer operations preferred. • Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses required; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred. • Blockchain analytics and investigations certification from a recognized provider (e.g., Chainalysis Reactor Certification (CRC) / Chainalysis Certified Investigator (CCI), or TRM Labs certification) required; candidates without such certification must obtain it within 90 days of hire. • Solid understanding of SEC and FINRA rules, including but not limited to Regulation Best Execution (Reg BI), Rule 17a-3 and 17a-4 (reporting and recordkeeping), and antifraud provisions under Section 10(b) of the Securities Exchange Act and Rule 10b-5. • Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions. • Strong analytical, problem-solving, and communication skills, with the ability to explain complex regulations to non-experts. • Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).

🏖️ Benefícios

• Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses. • Opportunities for professional development, including reimbursement for license maintenance and continuing education. • A collaborative work environment with flexibility for remote/hybrid arrangements. • The chance to make a significant impact in a growing firm while advancing your career in financial compliance.