Compliance Officer/CF10-Broker- 13/06/19

A leading global cryptocurrency exchange and blockchain asset financial service provider seeks a Compliance Office/CF10.

You will ensure that the company’s policies and procedures comply with all applicable laws and regulations that registered representatives understand these policies and that controls and surveillance routines are established and maintained. He/she is also responsible for identifying major risk factors (product, compliance and operational) for the company and developing and coordinating the implementation of strategies to reduce regulatory risk. A broad-based seasoned, experienced, and knowledgeable professional who can hit the ground running is required. Candidate with prior virtual currency exchange experience would be highly preferred.


  • You will create and oversee the entire compliance program and grow the compliance team.
  • Actively engage with and act as the point of contact for regulators, auditors, and regulatory partners.
  • Work with the legal team to analyse regulations and their applicability to products and develop creative solutions.
  • Develop and improve record-keeping processes.
  • Plan, facilitate and execute all necessary testing and certification of the broker-dealers supervisory policies and procedures, including taking remediation steps as-needed.
  • Monitor, advise and implement all relevant regulatory rule changes.
  • Develop and implement comprehensive framework for regulatory compliance and risk – including integration into the digital trading platforms.
  • Work directly with regulators and their representatives. Forge strong relationships.
  • Direct Anti-money laundering compliance program and ongoing change management.
  • Oversee regulatory examinations & internal and external audits.
  • Establish and maintain regulatory reporting requirements.
  • Provide oversight for the Customer Identification Program, KYC – Due Diligence process, AML Transaction Monitoring, AFC and OFAC Sanctions.
  • Coordinate and conduct compliance training for all employees for core areas.
  • Advise business teams on compliance and risk.
  • Possess ability to thrive in fast-paced Fintech driven environment.

What You Need to Have

  • Bachelor’s degree or higher, emphasis on digital technology or systems a plus.
  • 5+ year experience with financial services compliance, experience in crypto or payments preferred.
  • Strong experience in Anti-money laundry regulations and compliance.
  • Demonstrated interest in regulatory landscape for cryptocurrency and evolving policy requirements.
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and management.
  • Excellent project management and organizational skills.
  • Ability to deliver results under pressure. Strong critical thinking skills.
  • CAMS Certification a strong plus.
  • Aptitude for innovation and market change.
  • Well-versed in the art of drafting procedures and evaluating internal controls.
  • Strong interest in the blockchain space.
  • Series 7 and 24 licenses.

Bonus Points

  • Experience with compliance and/or management of an alternative trading system or national securities exchange strongly preferred.
  • Experience working at the SEC and/or FINRA preferred.
  • Experience working at a startup preferred.
  • Securities law background (JD) preferred.


Contact Details

Name: Alexia Brodie Cooper


Number: 0207 183 0070

Posted: 12/03/2019