Compliance Director

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Kimber

WebsiteLinkedInAll Job Openings

11 - 50 employees

Founded 2024

🤖 Artificial Intelligence

☁️ SaaS

🤝 B2B

Artificial Intelligence • SaaS • B2B

Kimber is an architecture-led AI engineering company based in Dublin, Ireland that partners with startups and growing companies to architect, build and scale intelligent software. They provide end-to-end services including AI-native applications (RAG, agents, model orchestration), multi-tenant SaaS platforms, data & AI infrastructure (pipelines, feature stores, model serving), and platform modernisation from legacy to cloud-native. Kimber offers a product called KimberCloud and leverages AWS Premier Tier capabilities; provides observability, autoscaling, and production-focused engineering with a six-phase architecture-led delivery process. Their target clients are teams needing reliable, scalable AI systems in production and they emphasize senior small teams, cloud-native, secure and resilient architectures, and measurable iterative development.

📋 Description

• 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.

🎯 Requirements

• 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).

🏖️ Benefits

• 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.