Crypto Exchange – Compliance Monitoring Officer – 16th October 2019

Our client is one of the largest and most successful bitcoin exchanges in the world, they are also a world-leading, regulated cryptocurrency trading platform and an industry pioneer in Bitcoin, Ethereum, Ripple XRP, Litecoin and Bitcoin Cash futures.

Overview of the role As Compliance and Monitoring officer, you will be responsible for reporting, monitoring and implementing policies that ensure the companies are meeting their regulatory requirements. You should be diligent with a keen attention to detail and a track record of seeing tasks/projects through to conclusion. The ideal candidate should have experience working in monitoring, have experience working at an exchange and/or brokerage.

Responsibilities

This is a dynamic role in a fast-changing business – but for example you will: • Assist with quarterly and yearly FCA returns/ad hoc filings • Assist with the drafting and maintaining of the certification under the new SMCR requirements • Document any technology changes and ensure governance framework is followed • Maintain and adapt any market monitoring and surveillance policies • Be a point of contact for client questions on the rulebook • Conduct complaint investigations and maintain corresponding logs • Maintain and adapt the AML policies as new regulations come in • Assist with producing the annual platform assessment • Assist with maintaining the compliance monitoring program for both entities • Conduct monthly spot check of new clients onboarded against policy and procedural requirements – profile, documentation and authentication parameters and maintain log • Conduct monthly review of alerts and reports and maintain log • Summarise reports in an annual presentation to the Boards • Review and approve all financial promotions and marketing materials, store all approved and maintain log – summarise in quarterly board reports. Devise a process and policy for this to ensure consistent review. • Review compliance training undertaken by staff, sourcing suppliers and maintain log – summarise in annual board report • Conduct annual policy review – fitness, ensure compliance, remediate issues

Requirements:

Personal Specification • Calm under pressure • A self-starter that gets things done • Able to work in a team environment, whilst benefitting from great autonomy • Equally comfortable communicating with a technical and non-technical audience • Able to see the big picture • Numerically literate and a great communicator

Qualifications A degree from an accredited institution, or equivalent relevant experience • 4-6 years of compliance monitoring experience • Ideally from an exchange or brokerage background (in market surveillance/monitoring capacity) • Cryptocurrency or fintech experience desirable • Experience working in a start-up environment a bonus • Technical background a major plus