Director, US Broker-Dealer Compliance

🕒 April 30

🇺🇸 United States – Remote

💵 $230k - $280k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

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Crypto.com

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2016

₿ Crypto

💳 Fintech

🔐 Security

Crypto • Fintech • Security

Crypto. com is a leading cryptocurrency platform that offers trading, buying, and selling services for Bitcoin, Ethereum, and over 350 other cryptocurrencies. It supports transactions in EUR and allows users to pay via SEPA and Apple/Google Pay, depending on jurisdiction. The platform is known for its regulatory compliance and high security standards, with over 100 million users worldwide. Crypto. com also offers products like Crypto Basket for portfolio diversification, on-chain staking for passive income, and the DeFi Wallet for P2P trading. With a commitment to user security and regulatory adherence, Crypto. com holds numerous security certifications and licenses globally. It aims to put cryptocurrency in every wallet and provides various tools for trading, earning rewards, and understanding the crypto market.

📋 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

🎯 Requirements

• 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.

🏖️ Benefits

• 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.