Director, US Broker-Dealer Compliance

🕒 il y a 1 mois

🇺🇸 États-Unis – Télétravail

💵 $230 000 - $280 000 / an

⏰ Temps Plein

🔴 Expert

🚔 Conformité

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Crypto.com

Site WebLinkedInTous les Emplois

1001 - 5000 employés

Fondée en 2016

₿ Crypto

💳 Fintech

🔐 Sécurité

Crypto • Fintech • Security

Crypto. com est une plateforme de cryptomonnaie qui propose une variété de services, y compris le trading, les portefeuilles numériques et les solutions de paiement. La plateforme permet aux utilisateurs d'acheter, de vendre et de gérer une large gamme de cryptomonnaies. Réputée pour son interface conviviale et son application mobile complète, Crypto. com vise à rendre les cryptomonnaies accessibles à tous. Elle propose également un programme de récompenses via son offre de carte Visa, qui offre du cashback en cryptomonnaie sur les achats, s'intégrant de manière fluide dans la vie quotidienne.

Description

• 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

🎯 Exigences

• 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.

🏖️ Avantages

• 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.