Director, US Broker-Dealer Compliance
Crypto.com is seeking a skilled professional to manage Broker-Dealer compliance operations for its US operations. The individual will be responsible for ensuring compliance with regulatory requirements and will collaborate closely with the FINRA-licensed entity for seamless regulatory adherence. Additionally, this role will support compliance functions related to the New Hampshire Trust Custody program.
Key Responsibilities:
- Oversee compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting.
- Prepare and file regulatory documents such as Forms U4, U5, Form BD, Form BR, CMA, and MatCon.
- Act as the key point of contact during FINRA and SEC audits, cycle exams, and cause examinations.
- Manage FINRA Rule 4530 Reporting and address regulatory inquiries effectively.
- Review internal and external communications and marketing materials for compliance with FINRA standards.
- Support Margin and Options compliance as well as risk management.
- Assist with the NH Trust Custody program and address IRA-related compliance matters.
- Maintain the Compliance Manual and ensure all written procedures comply with relevant regulations.
- Oversee the Identity Theft Prevention Program and manage Privacy (Reg S-P) and Information Security notice obligations.
Qualifications:
- Experience in Broker-Dealer compliance with a strong understanding of FINRA and SEC processes.
- Mandatory FINRA registration, including fingerprinting; Series 7 and Series 24 certifications required, with Series 4 preferred.
- Exceptional organizational abilities to manage diverse responsibilities independently.
- Proficient in collaborating across teams and communicating effectively with state and federal regulators.
- Knowledge of trust custody compliance and IRA regulations is advantageous.
Benefits:
- Competitive salary.
- Generous annual leave entitlements, including birthday and work anniversary leave.
- 401(k) plan with employer match.
- Eligibility for company-sponsored group health, dental, vision, and life/disability insurance.
- Opportunities for flexible working hours and hybrid or remote setups.
- Internal mobility program for career advancement.
About Crypto.com:
Established in 2016, Crypto.com is a rapidly growing global cryptocurrency platform serving over 150 million customers. With a commitment to security, privacy, and compliance, Crypto.com aims to drive cryptocurrency adoption through innovation and empowerment, fostering a fairer and more equitable digital ecosystem.
Crypto.com is an equal opportunities employer dedicated to cultivating a diverse and inclusive workplace that values unique backgrounds, perspectives, and skills to enrich its team. Personal data shared by applicants will solely be used for recruitment purposes. Only shortlisted candidates will be contacted.
Automated tools may be applied to analyze applicants' resumes against position requirements to expedite the recruitment process. However, final hiring decisions are human-driven, considering insights gathered by the tools along with other pertinent information. For further inquiries about personal data management, please reach out to us.
