Senior Compliance Manager
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Job Summary
Owning the compliance program for the tokenized securities venue, the remote Senior Compliance Manager will manage SEC exemption conditions, oversee public notice processes, and ensure participant onboarding while collaborating with various teams across the organization.
Key Responsibilities
- Own the compliance program for the venue's SEC exemption, including tracking conditions and preparing for regulatory examinations
- Manage the public notice process, ensuring accuracy and compliance with material-change filings
- Oversee participant onboarding, including KYC/KYB processes and ongoing wallet maintenance
Required Qualifications
- 8+ years of compliance experience at a broker-dealer, exchange, ATS, or digital asset firm with direct SEC experience
- Working knowledge of federal securities laws applicable to trading venues, including Regulation ATS and market manipulation rules
- Experience building or running compliance programs under regulatory conditions
- Familiarity with blockchain-based trading and related technologies
- Strong drafting skills for creating clear public disclosures and procedures
Complete Job Description
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