Compliance Director

This is a fully remote position, open to applicants in United States.

📋 Description

• Design, implement, and uphold comprehensive compliance policies, procedures, and controls specifically tailored for Plume’s public blockchain-based broker-dealer operations.

• Assist in the drafting and negotiation of materials related to Form BD submissions.

• Monitor and analyze regulatory changes from the SEC, FINRA, and other pertinent authorities, updating the firm's practices as necessary.

• Conduct regular internal audits, risk assessments, and testing to pinpoint and address potential compliance issues.

• Supervise the Plume broker-dealer's Anti-Money Laundering (AML) program, which includes suspicious activity reporting and customer due diligence.

• Act as KDAB’s AML/Compliance Director, taking ownership of its DABA-mandated AML/ATF program, which encompasses risk assessment, customer due diligence, ongoing transaction monitoring, sanctions and PEP screening, suspicious transaction reporting to the Financial Intelligence Agency, and freeze/seize procedures; serve as the primary contact for the BMA regarding AML/ATF supervision.

• Ensure adherence to transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, which cover recordkeeping, safekeeping of securities, and timely processing of transfers and issuances.

• Provide compliance training and advice to employees across sales, trading, and operations teams.

• Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports.

• Collaborate with senior management to incorporate compliance considerations into business strategies and product development, especially in US digital asset offerings.

• Investigate and resolve compliance-related issues, including client complaints and ethical concerns.

• Maintain precise records of compliance activities and generate reports for the Board of Directors and executive leadership.

• Keep up-to-date with industry best practices and emerging risks in areas such as cybersecurity, data privacy, and digital assets compliance.

⛳️ Requirements

• Bachelor’s degree in Finance, Business, Law, or a related discipline; advanced degrees (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) are preferred.

• At least 5 years of experience in compliance roles within the financial services sector, with direct exposure to broker-dealer operations preferred.

• Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses are mandatory; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations are strongly preferred.

• Certification in blockchain analytics and investigations from a recognized provider (e.g., Chainalysis Reactor Certification (CRC) / Chainalysis Certified Investigator (CCI), or TRM Labs certification) is required; candidates who do not possess such certification must obtain it within 90 days of hiring.

• Thorough understanding of SEC and FINRA regulations, including but not limited to Regulation Best Execution (Reg BI), Rule 17a-3 and 17a-4 (reporting and recordkeeping), and antifraud provisions under Section 10(b) of the Securities Exchange Act and Rule 10b-5.

• Demonstrated ability to manage compliance programs, conduct audits, and engage with regulators.

• Strong analytical, problem-solving, and communication skills, with the capability to explain complex regulations to non-experts.

• Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).

🏝️ Benefits

• Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses.

• Opportunities for professional development, including reimbursement for license maintenance and continuing education.

• A collaborative work environment that offers flexibility for remote/hybrid arrangements.

• The opportunity to make a significant impact in a growing firm while advancing your career in financial compliance.