Head of Compliance

🔥 0 minutes ago

🏄 California, New York, +1 more states – Remote

🏄 California – Remote 🗽 New York – Remote ☕ Washington – Remote

💵 $150.5k - $279.5k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

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Gemini

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 2014

₿ Crypto

💳 Fintech

🔐 Security

Crypto • Fintech • Security

Gemini is a simple and secure platform designed to help users build their cryptocurrency portfolio. It provides a professional-level crypto trading platform called ActiveTrader, which caters to both experienced traders and beginners. Owned by Gemini, Nifty Gateway is a premier NFT marketplace focused on the buying, selling, and storing of digital art on the blockchain. Gemini is recognized for its industry-leading security and compliance standards, being ISO 27001 and SOC 2 Type 2 certified, making it a licensed New York trust company subject to regular audits. Gemini also offers institutional products and services for businesses, private wealth, professional traders, and institutional investors, including exchange, custody, and staking services.

📋 Description

• Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program • Oversee the FCM compliance program, including the firm's risk management program and annual CCO report • Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM • Supervise trade and market surveillance across the firm's securities and derivatives products • Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries • Maintain the firm's AML program covering both broker-dealer and FCM activities • Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures • Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations • Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements • Review and approve advertising, marketing, and sales materials

🎯 Requirements

• BA/BS degree • Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire) • 10+ years of securities and/or commodities regulatory compliance experience • Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks • Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements • Comfort working in a technology-forward environment • Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses • Authorization to work in the United States and fluency in English.

🏖️ Benefits

• Competitive starting pay • A discretionary annual bonus • Long-term incentive in the form of a new hire equity grant • Comprehensive health plans • 401K with company matching • Paid Parental Leave • Flexible time off