Counsel, Transactions
Status
Phoenix, USA
Full time
Remote
Compensation is not specified
Role
Attorney
Description
Job Summary:
Circle operates as a financial technology firm focused on advancing the concept of the internet of money, where the transfer of value is as seamless as other digital data. By facilitating global transactions at minimized costs and increased speed, Circle's innovative approach offers groundbreaking possibilities for economic growth and financial inclusion. Through their infrastructure, including USDC, a blockchain-based dollar, Circle enables businesses, institutions, and developers to leverage these advancements in the realms of payments, commerce, and markets.
Company Culture:
Circle values transparency and stability in all operations and aspires for growth in diverse and robust global markets. Efficiency and rapidity drive the organization's achievements, with employees embodying core principles of Multistakeholder, Mindfulness, Driven by Excellence, and High Integrity. Encouraging a collaborative and adaptable work environment, Circle fosters creativity and inclusivity, encouraging a collective approach to success.
Job Responsibilities:
Reporting to the Assistant General Counsel - Transactions, the selected candidate will actively contribute to commercial transactions within the Business and Business Development segments. This includes extending support to compliance and vendor management teams during the introduction of new products and market expansions.
Key Duties:
- Act as a trusted liaison for Circle's Product, Business, Compliance, and Finance departments, fostering collaboration and effective communication with business stakeholders.
- Engage in structuring, negotiating, and drafting agreements related to fintech, payments, crypto tech, and vendor transactions, ensuring legal risk is addressed in a business-centric manner to enhance partnerships and opportunities.
- Assist in refining and expanding contract templates and terms of use to align with new product offerings and services.
- Contribute to the establishment and enhancement of processes, procedures, and metrics to improve the overall efficiency of legal services within the company.
- Stay abreast of trends in finance, payments, and digital currency to provide updated compliance advice to business leaders when needed.
Candidate Requirements:
- Minimum of 5 years of hands-on legal experience, with preference given to those with experience in both law firms and in-house settings.
- Demonstrated expertise in drafting and negotiating agreements within fintech, financial services, and tech sectors.
- Proven track record of collaborating cross-functionally on strategic partnerships, particularly with Product, Business, and Compliance teams.
- In-depth knowledge and passion for financial technology, cryptocurrency, and blockchain technologies, as well as the ability to prioritize and manage multiple projects in a dynamic environment.
- Strong business acumen, creativity in problem-solving, and ability to balance legal risks with business needs.
- JD degree from a reputed law school, along with active membership in at least one state bar.
- Proficiency in Google Suite, Slack, and Apple MacOS is preferred.
Additional Details:
- This role offers day-one PERM sponsorship for qualified candidates.
- Compensation packages are devised considering various factors such as experience, qualifications, and organizational needs.
- Compensation Range: $147,500 - $195,000.
- Annual Bonus Target: 12.5%.
- Additional Benefits: Equity, medical, dental, vision, 401(k), 10 paid sick leave days per year, and 11 paid holidays per year in the U.S.
Circle is an equal opportunity employer that celebrates diversity and does not discriminate based on factors like race, religion, gender, or disability status.
Skills Required
Circle
Website
www.circle.comCompany size
Not specified
Location
United States
Description
Not specified
Status
Сrypto.com
Regulatory Legal Counsel
United Arab Emirates
United Arab Emirates
Full time
Hybrid
About the Role:
As a vital member of the team, you will be responsible for conducting thorough legal research and analysis on regulatory and policy matters concerning the cryptocurrency industry and blockchain technology. Your expertise will be utilized to offer well-founded legal counsel on technology-related financial regulations and crypto issues. Precise drafting and detailed review of legal documentation, specializing in technology-related corporate, litigation, and regulatory concerns, will be part of your duties. Providing guidance on ensuring adherence to the appropriate laws governing financial services, crypto, blockchain technology, smart contracts, and decentralized applications will be crucial. Collaborating closely with various teams, such as product, engineering, and business, you will provide legal advice on a broad spectrum of technology-related subjects. Representing the company with professionalism and tact in negotiations and engagements with regulators, policymakers, and industry stakeholders regarding technology is paramount. Meticulously staying informed about legal and regulatory changes in the continuously evolving crypto industry and blockchain technology arena, you will proactively share insights and recommendations with the legal team and relevant stakeholders and engage with regulators as needed.
Responsibilities
Conduct thorough legal research and analysis on regulatory and policy issues linked to the cryptocurrency industry and blockchain technology.
Utilize expertise to provide sound legal guidance and advice on technology-related financial regulation and crypto matters.
Precisely draft and meticulously review legal documents and agreements, focusing on technology-related corporate, litigation, and regulatory aspects.
Advise on ensuring compliance with laws and regulations governing financial services, crypto, blockchain technology, smart contracts, and decentralized applications.
Collaborate with interdepartmental teams to provide legal guidance and advice on technology-related matters.
Represent the company in negotiations and interactions with regulators, policymakers, and industry stakeholders on technology-related subjects.
Stay aware of legal and regulatory developments within the crypto industry and the blockchain technology landscape.
Proactively share insights and recommendations with the legal team and key stakeholders.
Engage with regulators when necessary.
Requirements
Possess 5-8 years of overall legal experience, emphasizing financial regulation or regulatory affairs with a substantial understanding of blockchain technology and the cryptocurrency industry.
Licensed to practice in UAE.
Demonstrate exceptional drafting and communication skills with a proven ability to convey complex legal and technical concepts effectively to non-legal audiences.
Knowledgeable about financial products and relevant licensing and regulatory necessities.
Excel in a fast-paced startup culture, efficiently working both independently and collaboratively.
Exhibit strong analytical and problem-solving skills, providing practical, solution-focused legal guidance on technology-related matters.
As a vital member of the team, you will be responsible for conducting thorough legal research and analysis on regulatory and policy matters concerning the cryptocurrency industry and blockchain technology. Your expertise will be utilized to offer well-founded legal counsel on technology-related financial regulations and crypto issues. Precise drafting and detailed review of legal documentation, specializing in technology-related corporate, litigation, and regulatory concerns, will be part of your duties. Providing guidance on ensuring adherence to the appropriate laws governing financial services, crypto, blockchain technology, smart contracts, and decentralized applications will be crucial. Collaborating closely with various teams, such as product, engineering, and business, you will provide legal advice on a broad spectrum of technology-related subjects. Representing the company with professionalism and tact in negotiations and engagements with regulators, policymakers, and industry stakeholders regarding technology is paramount. Meticulously staying informed about legal and regulatory changes in the continuously evolving crypto industry and blockchain technology arena, you will proactively share insights and recommendations with the legal team and relevant stakeholders and engage with regulators as needed.
Responsibilities
Conduct thorough legal research and analysis on regulatory and policy issues linked to the cryptocurrency industry and blockchain technology.
Utilize expertise to provide sound legal guidance and advice on technology-related financial regulation and crypto matters.
Precisely draft and meticulously review legal documents and agreements, focusing on technology-related corporate, litigation, and regulatory aspects.
Advise on ensuring compliance with laws and regulations governing financial services, crypto, blockchain technology, smart contracts, and decentralized applications.
Collaborate with interdepartmental teams to provide legal guidance and advice on technology-related matters.
Represent the company in negotiations and interactions with regulators, policymakers, and industry stakeholders on technology-related subjects.
Stay aware of legal and regulatory developments within the crypto industry and the blockchain technology landscape.
Proactively share insights and recommendations with the legal team and key stakeholders.
Engage with regulators when necessary.
Requirements
Possess 5-8 years of overall legal experience, emphasizing financial regulation or regulatory affairs with a substantial understanding of blockchain technology and the cryptocurrency industry.
Licensed to practice in UAE.
Demonstrate exceptional drafting and communication skills with a proven ability to convey complex legal and technical concepts effectively to non-legal audiences.
Knowledgeable about financial products and relevant licensing and regulatory necessities.
Excel in a fast-paced startup culture, efficiently working both independently and collaboratively.
Exhibit strong analytical and problem-solving skills, providing practical, solution-focused legal guidance on technology-related matters.
Сrypto.com
Senior Financial Crimes Analyst- EU, Malta
Saint Julian's, Malta
Saint Julian's, Malta
Full time
Hybrid
Our Local Programs and Regulatory Compliance team is dedicated to ensuring adherence to local laws and regulations in the countries of operation.
Key Responsibilities:
Functioning as a secondary line of defense by overseeing and meticulously reviewing intricate and high-risk investigative casework across various financial crime typologies.
Assessing and scrutinizing high-risk reports, including Suspicious Transaction Reports (STRs) and Suspicious Activity Reports (SARs), aligning with local and international compliance standards.
Conducting meticulous reviews of sanctions-related investigations, managing escalations as needed, and scrutinizing potential matches to regional watchlists.
Analyzing the risks associated with Politically Exposed Persons (PEPs) and assessing financial crime vulnerabilities.
Maintaining an updated knowledge base of local AML/CFT regulations, best practices, and risk management protocols.
Contributing to the development and implementation of internal procedures to enhance escalation processes.
Coordinating investigation-related queries from law enforcement bodies and Financial Intelligence Units (FIUs).
Serving as a liaison with relevant compliance teams and stakeholders.
Demonstrating sound judgment when handling complex and high-risk cases, ensuring well-balanced and reasoned decisions.
Job Requirements:
Minimum of two years of relevant experience in an AML/CFT role within a regulated financial institution in Malta, with experience in virtual financial assets being beneficial.
Profound understanding of AML/CFT regulations in the fintech industry.
Diverse compliance experience covering AML, Sanctions, KYC, and Onboarding.
Hands-on experience in conducting financial crime investigations and compiling detailed narratives.
Experience with filing Reports through the FIAU GoAml Portal is advantageous.
Ability to work independently with minimal supervision.
Strong organizational skills, proficiency in multitasking under deadline pressure, and prioritization capabilities.
Excellent written and verbal communication skills.
Proficiency in analyzing numerical data using tools like Excel.
Preferable experience with blockchain analytics and monitoring tools.
Knowledge of digital assets and fintech products is desirable.
CAMS certification or willingness to obtain it is preferred.
Life @ Crypto.com
Fostering a culture of empowerment and innovation within a supportive and ambitious team.
Encouraging proactive and transformational work environments to spark innovative solutions.
Investing in employees' growth by developing diverse skill sets.
Promoting a collaborative work culture focused on mutual support.
Flexible work arrangements, including hybrid or remote setups.
Internal mobility programs offering diverse career opportunities.
Benefits:
Competitive salary.
Generous annual leave entitlement, including special occasions like birthdays and work anniversaries.
Work perks, including a Crypto.com visa card upon joining.
About Crypto.com:
Established in 2016, Crypto.com serves over 80 million customers globally, as one of the fastest-growing cryptocurrency platforms. With a vision to make Cryptocurrency in Every Wallet™, Crypto.com prioritizes security, privacy, and compliance while driving cryptocurrency adoption through innovation.
Crypto.com is committed to upholding equal opportunities, diversity, and inclusion in all recruitment practices and values a team with various backgrounds and skills. All applicant data will be used solely for recruitment purposes. Please note that only shortlisted candidates will be contacted.
Key Responsibilities:
Functioning as a secondary line of defense by overseeing and meticulously reviewing intricate and high-risk investigative casework across various financial crime typologies.
Assessing and scrutinizing high-risk reports, including Suspicious Transaction Reports (STRs) and Suspicious Activity Reports (SARs), aligning with local and international compliance standards.
Conducting meticulous reviews of sanctions-related investigations, managing escalations as needed, and scrutinizing potential matches to regional watchlists.
Analyzing the risks associated with Politically Exposed Persons (PEPs) and assessing financial crime vulnerabilities.
Maintaining an updated knowledge base of local AML/CFT regulations, best practices, and risk management protocols.
Contributing to the development and implementation of internal procedures to enhance escalation processes.
Coordinating investigation-related queries from law enforcement bodies and Financial Intelligence Units (FIUs).
Serving as a liaison with relevant compliance teams and stakeholders.
Demonstrating sound judgment when handling complex and high-risk cases, ensuring well-balanced and reasoned decisions.
Job Requirements:
Minimum of two years of relevant experience in an AML/CFT role within a regulated financial institution in Malta, with experience in virtual financial assets being beneficial.
Profound understanding of AML/CFT regulations in the fintech industry.
Diverse compliance experience covering AML, Sanctions, KYC, and Onboarding.
Hands-on experience in conducting financial crime investigations and compiling detailed narratives.
Experience with filing Reports through the FIAU GoAml Portal is advantageous.
Ability to work independently with minimal supervision.
Strong organizational skills, proficiency in multitasking under deadline pressure, and prioritization capabilities.
Excellent written and verbal communication skills.
Proficiency in analyzing numerical data using tools like Excel.
Preferable experience with blockchain analytics and monitoring tools.
Knowledge of digital assets and fintech products is desirable.
CAMS certification or willingness to obtain it is preferred.
Life @ Crypto.com
Fostering a culture of empowerment and innovation within a supportive and ambitious team.
Encouraging proactive and transformational work environments to spark innovative solutions.
Investing in employees' growth by developing diverse skill sets.
Promoting a collaborative work culture focused on mutual support.
Flexible work arrangements, including hybrid or remote setups.
Internal mobility programs offering diverse career opportunities.
Benefits:
Competitive salary.
Generous annual leave entitlement, including special occasions like birthdays and work anniversaries.
Work perks, including a Crypto.com visa card upon joining.
About Crypto.com:
Established in 2016, Crypto.com serves over 80 million customers globally, as one of the fastest-growing cryptocurrency platforms. With a vision to make Cryptocurrency in Every Wallet™, Crypto.com prioritizes security, privacy, and compliance while driving cryptocurrency adoption through innovation.
Crypto.com is committed to upholding equal opportunities, diversity, and inclusion in all recruitment practices and values a team with various backgrounds and skills. All applicant data will be used solely for recruitment purposes. Please note that only shortlisted candidates will be contacted.
Сrypto.com
Global Monitoring & Investigations Analyst, Bulgaria
Sofia, Bulgaria
Sofia, Bulgaria
Full time
Hybrid
Job Responsibilities:
Monitor customers' transactions for potential high-risk activities such as terrorist financing, human trafficking, or drug trafficking.
Prepare Suspicious Activity Reports (SARs) in compliance with regulatory requirements and partnership agreements.
Engage with customers regarding compliance-related issues.
Review referrals, escalations, or internal suspicious activity reports within set timeframes.
Provide support and knowledge sharing to various teams like Customer Care and Risk.
Investigate criminal and suspicious activities targeting the company and its clients while adhering to policies and legal requirements.
Conduct global research on customers and their connections.
Meet individual goals based on set standards, both quantitative and qualitative.
Handle ad-hoc tasks assigned by Senior Analyst or higher management.
Job Requirements:
Minimum 1 year of experience in a similar role.
High school diploma or equivalent.
Past experience in fintech is preferred but not mandatory.
Basic knowledge of relevant financial technology/services legislation.
Understanding of the company's technical, financial, and organizational structure.
Effective communication skills at all levels, with strong written and verbal abilities.
Strong decision-making and problem-solving skills, capable of working independently and in a team.
Attributes like integrity, initiative, discretion, and respect towards others.
Interest in fintech industry and commitment to the position.
Life @
Empowered to think innovatively and work collaboratively in a supportive environment.
Encouragement for proactive problem-solving and continuous improvement.
Opportunities for personal and professional growth through skill development.
A collaborative culture fostering mutual support and growth.
Unity among team members to strive for the common goal of advancing cryptocurrency accessibility.
Are you ready to kickstart your future with us?
Benefits
Competitive salary
Medical insurance with extended coverage for dependents
Generous annual leave entitlement and additional perks like birthday leave
Internal mobility program for career advancement
Work perks like company-issued Visa cards
Varied benefits as per region requirements
About:
Founded in 2016, the company caters to a vast customer base and is the fastest-growing global cryptocurrency platform. Committed to advancing cryptocurrency adoption, it prioritizes innovation and empowerment, aiming to create a fair and more inclusive digital ecosystem.
Monitor customers' transactions for potential high-risk activities such as terrorist financing, human trafficking, or drug trafficking.
Prepare Suspicious Activity Reports (SARs) in compliance with regulatory requirements and partnership agreements.
Engage with customers regarding compliance-related issues.
Review referrals, escalations, or internal suspicious activity reports within set timeframes.
Provide support and knowledge sharing to various teams like Customer Care and Risk.
Investigate criminal and suspicious activities targeting the company and its clients while adhering to policies and legal requirements.
Conduct global research on customers and their connections.
Meet individual goals based on set standards, both quantitative and qualitative.
Handle ad-hoc tasks assigned by Senior Analyst or higher management.
Job Requirements:
Minimum 1 year of experience in a similar role.
High school diploma or equivalent.
Past experience in fintech is preferred but not mandatory.
Basic knowledge of relevant financial technology/services legislation.
Understanding of the company's technical, financial, and organizational structure.
Effective communication skills at all levels, with strong written and verbal abilities.
Strong decision-making and problem-solving skills, capable of working independently and in a team.
Attributes like integrity, initiative, discretion, and respect towards others.
Interest in fintech industry and commitment to the position.
Life @
Empowered to think innovatively and work collaboratively in a supportive environment.
Encouragement for proactive problem-solving and continuous improvement.
Opportunities for personal and professional growth through skill development.
A collaborative culture fostering mutual support and growth.
Unity among team members to strive for the common goal of advancing cryptocurrency accessibility.
Are you ready to kickstart your future with us?
Benefits
Competitive salary
Medical insurance with extended coverage for dependents
Generous annual leave entitlement and additional perks like birthday leave
Internal mobility program for career advancement
Work perks like company-issued Visa cards
Varied benefits as per region requirements
About:
Founded in 2016, the company caters to a vast customer base and is the fastest-growing global cryptocurrency platform. Committed to advancing cryptocurrency adoption, it prioritizes innovation and empowerment, aiming to create a fair and more inclusive digital ecosystem.
Сrypto.com
Compliance Project and Process Maintenance Senior Analyst, Bulgaria
Sofia, Bulgaria
Sofia, Bulgaria
Full time
Hybrid
Job Responsibilities:
Develop and maintain Compliance processes and procedures in accordance with organizational standards and regulatory requirements.
Assist the Manager in creating and refining documentation to uphold a complete and precise compliance library.
Generate detailed process maps for compliance workflows to identify areas for enhancement and efficiency.
Evaluate existing processes and suggest improvements to streamline operations and enhance compliance effectiveness.
Engage in the development and enhancement of QA processes for Compliance teams to align with their specific needs.
Conduct regular quality control checks on routine and ad-hoc activities, document findings, and recommend corrective actions as needed.
Aid in the enforcement and upkeep of QA standards throughout the compliance team.
Support the preparation of documentation and responses for both internal and external audits.
Monitor audit results and work with team members to ensure timely completion of follow-up actions.
Assist the Manager with critical compliance projects to ensure tasks are completed on time.
Collaborate with cross-functional teams on project deliverables and provide updates to the Team Lead.
Play an active role in developing and updating Productivity Tracking processes and reports for Compliance teams to meet their requirements.
Identify areas for productivity improvement within team workflows, propose process enhancements, and implement approved changes.
Contribute to drafting and distributing weekly compliance newsletters with accurate and relevant content for the team and stakeholders.
Brainstorm key topics and updates for the newsletter, contributing to a clear, informative, and engaging publication.
Develop and deliver training materials in coordination with the Manager and relevant teams to ensure content accuracy and relevance.
Assist in access permissions management and conduct audits to ensure role-based access for compliance systems and workspaces.
Collaborate with IT and security departments to address access issues and ensure secure access protocols.
Job Requirements:
Demonstrated experience in developing and updating processes and procedures.
Proficiency in drafting documentation and training materials.
Familiarity with process improvement techniques.
Effective project management skills.
Previous experience in compliance is advantageous.
Strong analytical and problem-solving abilities.
Proficient in multitasking with high attention to detail.
Excellent written and verbal communication skills.
Ability to collaborate with cross-functional teams and provide project updates.
Develop and maintain Compliance processes and procedures in accordance with organizational standards and regulatory requirements.
Assist the Manager in creating and refining documentation to uphold a complete and precise compliance library.
Generate detailed process maps for compliance workflows to identify areas for enhancement and efficiency.
Evaluate existing processes and suggest improvements to streamline operations and enhance compliance effectiveness.
Engage in the development and enhancement of QA processes for Compliance teams to align with their specific needs.
Conduct regular quality control checks on routine and ad-hoc activities, document findings, and recommend corrective actions as needed.
Aid in the enforcement and upkeep of QA standards throughout the compliance team.
Support the preparation of documentation and responses for both internal and external audits.
Monitor audit results and work with team members to ensure timely completion of follow-up actions.
Assist the Manager with critical compliance projects to ensure tasks are completed on time.
Collaborate with cross-functional teams on project deliverables and provide updates to the Team Lead.
Play an active role in developing and updating Productivity Tracking processes and reports for Compliance teams to meet their requirements.
Identify areas for productivity improvement within team workflows, propose process enhancements, and implement approved changes.
Contribute to drafting and distributing weekly compliance newsletters with accurate and relevant content for the team and stakeholders.
Brainstorm key topics and updates for the newsletter, contributing to a clear, informative, and engaging publication.
Develop and deliver training materials in coordination with the Manager and relevant teams to ensure content accuracy and relevance.
Assist in access permissions management and conduct audits to ensure role-based access for compliance systems and workspaces.
Collaborate with IT and security departments to address access issues and ensure secure access protocols.
Job Requirements:
Demonstrated experience in developing and updating processes and procedures.
Proficiency in drafting documentation and training materials.
Familiarity with process improvement techniques.
Effective project management skills.
Previous experience in compliance is advantageous.
Strong analytical and problem-solving abilities.
Proficient in multitasking with high attention to detail.
Excellent written and verbal communication skills.
Ability to collaborate with cross-functional teams and provide project updates.
Wintermute
Senior Compliance Officer - Broker Dealer
New York, USA
New York, USA
Full time
Hybrid
About Wintermute
Wintermute is a technology unicorn and a prominent global player in digital asset markets, specializing in crypto-native algorithmic trading. As the largest of its kind, Wintermute provides liquidity across major exchanges and platforms, offering a diverse range of spot and derivatives products on its OTC desk. With a broad client base of over 2,000 counterparties spanning both crypto natives and traditional financial institutions, Wintermute actively contributes to the blockchain ecosystem through its involvement in DeFi, investments, partnerships, and incubations.
Founded in 2017 by industry experts, Wintermute has successfully navigated various cycles in the crypto space. The company blends the technological rigor of high-frequency trading firms in traditional markets with the innovative and entrepreneurial culture typical of tech startups.
Nature of the Role:
Wintermute seeks a Chief Compliance Officer (CCO) responsible for ensuring broker-dealer compliance with SEC, FINRA, and state rules and regulations. The primary focus of this role is to establish, implement, and maintain the broker-dealer compliance program while collaborating with Wintermute’s global compliance team to ensure adherence to regulatory requirements.
Key Responsibilities:
Develop and enforce standards, policies, and procedures for the broker-dealer compliance program.
Manage FINRA Gateway filings, regulatory reporting submissions, and broker-dealer audits.
Supervise trade-related compliance, including equity securities reporting.
Lead responses to regulatory inquiries and oversee the US firm’s AML compliance program.
Collaborate with various functions to address regulatory issues that may affect business operations.
Assist in creating compliance materials and training resources based on regulatory standards.
Review and approve marketing materials to ensure compliance with financial promotion rules.
Support compliance projects such as authorizations and transaction monitoring.
Stay abreast of regulatory changes, interpreting and implementing new regulations.
Analyze regulator publications and communicate their implications to stakeholders.
Hard Skills Requirements:
Must hold Series 7 and 24 licenses.
Minimum 8 years of compliance experience, ideally in a senior broker-dealer support role.
Proficient in SEC and FINRA rules and regulations.
Experience in proprietary trading, financial services, and/or crypto.
Ability to interpret and implement changes in broker-dealer compliance regulations.
Strong attention to detail and ability to manage deadlines.
Excellent written and verbal communication skills.
Other Requirements:
Experience with ATS and TRACE reporting and a background in securities trading.
Interest in algorithmic trading and decentralized finance.
Ownership mentality, focusing on company growth and compliance risk mitigation.
Strategic thinking combined with hands-on execution.
Aligned with Wintermute culture values, demonstrating determination, ambition, and humility.
Thrive in a non-hierarchical, entrepreneurial work environment with a focus on results.
Flexible to work non-traditional hours and collaborate within a team environment in London or Singapore.
Join our dynamic team and benefit from:
Opportunity to be part of an innovative global trading firm.
Enjoy engaging projects with accelerated responsibilities.
Vibrant working culture with team events, outings, and a unique office space.
Competitive performance-based compensation.
Note:
This is a fully remote role with eligibility to work in the US.
Preferences for candidates in New York or the East Coast region.
Wintermute is a technology unicorn and a prominent global player in digital asset markets, specializing in crypto-native algorithmic trading. As the largest of its kind, Wintermute provides liquidity across major exchanges and platforms, offering a diverse range of spot and derivatives products on its OTC desk. With a broad client base of over 2,000 counterparties spanning both crypto natives and traditional financial institutions, Wintermute actively contributes to the blockchain ecosystem through its involvement in DeFi, investments, partnerships, and incubations.
Founded in 2017 by industry experts, Wintermute has successfully navigated various cycles in the crypto space. The company blends the technological rigor of high-frequency trading firms in traditional markets with the innovative and entrepreneurial culture typical of tech startups.
Nature of the Role:
Wintermute seeks a Chief Compliance Officer (CCO) responsible for ensuring broker-dealer compliance with SEC, FINRA, and state rules and regulations. The primary focus of this role is to establish, implement, and maintain the broker-dealer compliance program while collaborating with Wintermute’s global compliance team to ensure adherence to regulatory requirements.
Key Responsibilities:
Develop and enforce standards, policies, and procedures for the broker-dealer compliance program.
Manage FINRA Gateway filings, regulatory reporting submissions, and broker-dealer audits.
Supervise trade-related compliance, including equity securities reporting.
Lead responses to regulatory inquiries and oversee the US firm’s AML compliance program.
Collaborate with various functions to address regulatory issues that may affect business operations.
Assist in creating compliance materials and training resources based on regulatory standards.
Review and approve marketing materials to ensure compliance with financial promotion rules.
Support compliance projects such as authorizations and transaction monitoring.
Stay abreast of regulatory changes, interpreting and implementing new regulations.
Analyze regulator publications and communicate their implications to stakeholders.
Hard Skills Requirements:
Must hold Series 7 and 24 licenses.
Minimum 8 years of compliance experience, ideally in a senior broker-dealer support role.
Proficient in SEC and FINRA rules and regulations.
Experience in proprietary trading, financial services, and/or crypto.
Ability to interpret and implement changes in broker-dealer compliance regulations.
Strong attention to detail and ability to manage deadlines.
Excellent written and verbal communication skills.
Other Requirements:
Experience with ATS and TRACE reporting and a background in securities trading.
Interest in algorithmic trading and decentralized finance.
Ownership mentality, focusing on company growth and compliance risk mitigation.
Strategic thinking combined with hands-on execution.
Aligned with Wintermute culture values, demonstrating determination, ambition, and humility.
Thrive in a non-hierarchical, entrepreneurial work environment with a focus on results.
Flexible to work non-traditional hours and collaborate within a team environment in London or Singapore.
Join our dynamic team and benefit from:
Opportunity to be part of an innovative global trading firm.
Enjoy engaging projects with accelerated responsibilities.
Vibrant working culture with team events, outings, and a unique office space.
Competitive performance-based compensation.
Note:
This is a fully remote role with eligibility to work in the US.
Preferences for candidates in New York or the East Coast region.