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Director, US Broker-Dealer Compliance

17 hours, 11 minutes ago
United States
Full-time
Executive
Compliance Manager
Legal
Apply Now
Crypto.com

Crypto.com

Crypto.com is a top cryptocurrency platform with 80M+ users, offering secure trading of Bitcoin, Ethereum, NFTs, and 250+ altcoins. Services include easy purchases, price alerts, portfolio growth, and on-chain staking.

Capital Markets
1K-5K
Founded 2016
View All Jobs 15

Description

  • Own and manage all Broker-Dealer compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting.
  • Prepare and submit regulatory filings such as Forms U4, U5, Form BD, Form BR, CMA, and MatCon.
  • Serve as the primary point of contact for FINRA and SEC audits, cycle exams, and cause examinations.
  • Manage FINRA Rule 4530 reporting and respond to regulatory inquiries in a timely and organized manner.
  • Conduct internal and external communication and marketing reviews to ensure adherence to FINRA standards.
  • Support Margin and Options compliance and related risk management activities.
  • Support the New Hampshire Trust Custody program, including IRA-related compliance matters.
  • Maintain the Compliance Manual and written procedures to reflect current regulatory requirements.
  • Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and information security notice obligations.

Requirements

  • Experience with Broker-Dealer compliance and prior interaction with FINRA and the SEC.
  • FINRA registration is required, including fingerprinting.
  • Series 7 and Series 24 licenses are required.
  • Series 4 is strongly preferred.
  • Strong organizational skills with the ability to manage a broad scope of responsibilities independently.
  • Comfort working across teams and communicating directly with state and federal regulators.
  • Familiarity with trust custody compliance and IRA regulations is a plus.

Benefits

  • Competitive salary of $230,000 to $280,000 per year.
  • Attractive annual leave entitlement, including birthday and work anniversary leave.
  • 401(k) plan with employer match.
  • Company-sponsored group health, dental, vision, and life/disability insurance.
  • Flexible work hours with hybrid or remote setup.
  • Internal mobility program and career development opportunities.

Interested in this position?

Apply directly on the company website

Apply Now

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