Senior Compliance Manager, Tokenized Securities Venue

🔥 22 minutes ago

🏄 California – Remote

🏄 California – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 Ghost score 10%

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OKX

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2017

₿ Crypto

🌐 Web 3

💳 Fintech

Crypto • Web 3 • Fintech

OKX is a cryptocurrency exchange offering a comprehensive suite of trading solutions for both retail and institutional investors. The platform facilitates buying, selling, and trading of various cryptocurrencies with low fees, powerful tools like trading bots, and deep liquidity markets. OKX provides services such as quick crypto conversion, a liquid marketplace, and managed trading. It serves institutional traders with an advanced API connectivity, historical market data, and a robust OTC liquidity network. The company aims to ease the crypto trading and buying process, even integrating with Web3 technologies and offering educational resources for new users.

📋 Description

• Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination • Manage the venue's public notice, including reviewing revisions, controlling versions, ensuring alignment with product functionality, and submitting corrections and material-change filings within required deadlines • Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date • Track and monitor TSV limits, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins • Escalate breaches, significant operational events and required SEC notifications • Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening • Keep wallet-to-participant records current and issue or revoke the soulbound token (SBT) credential granting access • Report to the OKXICE LLC Board of Managers and Americas Compliance leadership • Manage and develop a TSV Compliance Analyst

🎯 Requirements

• 8+ years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC-regulated activity • Working knowledge of the federal securities laws that apply to trading venues, such as Regulation ATS, Regulation NMS and market manipulation rules, plus the ability to apply them to new market structures • Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions • Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening • Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures • Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones • Experience with tokenized securities, transfer agents or digital asset broker-dealers • Exposure to OFAC sanctions programs and blocked property handling for on-chain assets • Experience reporting to a board or joint venture governance body • A JD or a similar legal background

🏖️ Benefits

• Competitive total compensation package • Various team building programs and company events • Wellness and meal allowances • Comprehensive healthcare schemes for employees and dependants

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