Senior Compliance Manager, Tokenized Securities Venue

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

📋 Description

• Lead the compliance program for the venue's SEC exemption, which includes monitoring each condition, testing controls, and ensuring documentation is prepared for regulatory review.

• Oversee the venue's public notice, which involves reviewing changes, managing versions, ensuring alignment with product functionality, and submitting corrections and material-change filings by specified deadlines.

• Execute the issuer notice process from initiation to completion, including tracking delivery, addressing objections, and confirming the listing date for each stock.

• Monitor and track TSV limits, which encompass per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts, and eligible stablecoins.

• Report breaches, significant operational events, and necessary SEC notifications.

• Supervise participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions checks, and on-chain wallet rescreening.

• Maintain up-to-date wallet-to-participant records and issue or revoke the soulbound token (SBT) credential that grants access.

• Provide reports to the OKXICE LLC Board of Managers and the Americas Compliance leadership team.

• Manage and mentor a TSV Compliance Analyst.

⛳️ Requirements

• Over 8 years of compliance experience in a broker-dealer, exchange, alternative trading system (ATS), or digital asset firm, with direct involvement in SEC-regulated activities.

• Proficient understanding of federal securities laws applicable to trading venues, including Regulation ATS, Regulation NMS, and market manipulation regulations, with the capability to apply these laws to emerging market structures.

• Demonstrated experience in establishing or managing compliance programs under regulatory constraints, exemptive relief, or no-action positions.

• Knowledge of blockchain-based trading, including self-custodied wallets, smart contracts, liquidity pools, and on-chain screening processes.

• Excellent drafting abilities, with a proven track record of translating complex technical or legal details into clear public disclosures and procedures.

• Strong judgment and the capability to collaborate with Product, Engineering, and Legal teams across different time zones.

• Background in tokenized securities, transfer agents, or digital asset broker-dealers.

• Familiarity with OFAC sanctions programs and handling of blocked properties for on-chain assets.

• Experience in reporting to a board or a governance body of a joint venture.

• A JD or comparable legal education is preferred.

🏝️ Benefits

• Competitive total compensation package.

• Various team-building initiatives and company events.

• Wellness and meal allowances.

• Comprehensive healthcare plans for employees and their dependents.