Compliance Director

🕒 vor 3 Monaten

🇺🇸 Vereinigte Staaten – Remote

⏰ Vollzeit

🔴 Experte

🚔 Compliance

👻 Geisterscore 60%

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Plume Network

WebsiteLinkedInAlle Stellen

11 - 50 Mitarbeiter

₿ Crypto

💳 Fintech

Crypto • Fintech

Plume Network ist ein öffentliches Blockchain-Ökosystem, das speziell für die Tokenisierung von realen Vermögenswerten (RWA) und deren Verteilung auf dem Kryptomarkt entwickelt wurde. Es bietet innovative Produkte wie den Plume Passport, eine RWAfi Wallet und ein Entwickler-SDK, um RWAs nahtlos zu integrieren. Mit einer florierenden Gemeinschaft von Krypto-Nutzern und einer Vielzahl von Entwickler-Tools zielt Plume darauf ab, die Zusammenarbeit und das Wachstum von Projekten zu fördern, die sich auf RWAs konzentrieren, um globalen Zugang und Ertragsgenerierung aus diesen Vermögenswerten zu gewährleisten.

Beschreibung

• 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.

🎯 Anforderungen

• 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).

🏖️ Vorteile

• 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.

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