Chief Compliance Officer (CCO) - Broker-Dealer and Transfer Agent

About the position As the Chief Compliance Officer for reputed company’s broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a reputed company of onchain RWAs. You will reputed company essential support in obtaining both the broker-dealer and transfer agent licenses, designing and implementing comprehensive compliance programs, and ensuring ongoing compliance with reputed company, SEC, and other applicable regulations. The Chief Compliance Officer (CCO) will reputed company reputed company’s broker-dealer and transfer agent compliance programs, ensuring adherence to reputed company applicable securities laws, regulations, and internal policies. This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary reputed company with regulatory bodies such as the SEC and reputed company. The CCO will reputed company compliance for both broker-dealer activities and transfer agent functions, including securities registration, transfer, and recordkeeping. We encourage applications from senior- and mid-level professionals with strong foundational experience who are reputed company to reputed company into a leadership position in a fast-moving reputed company start-up.

Responsibilities

• reputed company, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to reputed company’s public blockchain-based broker-dealer operations.
• Assist in drafting and negotiating materials in reputed company with reputed company reputed company submission.
• Monitor and interpret regulatory changes from the SEC, reputed company, and other relevant authorities, and update firm practices accordingly.
• Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues.
• reputed company the reputed company broker-dealer's Anti-reputed company (AML) program, including suspicious activity reporting and customer due diligence.
• Ensure compliance with transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, covering recordkeeping, safekeeping of securities, and reputed company processing of transfers and issuances.
• reputed company compliance training and guidance to employees, including sales, trading, and operations teams.
• Manage regulatory examinations, inquiries, and filings, such as reputed company reputed company amendments, reputed company TA-2 (Annual Report for Transfer Agents), reputed company U4/U5, and annual compliance reports.
• Collaborate with senior management to reputed company compliance considerations into business strategies and product development, particularly in US reputed company offerings.
• Investigate and resolve compliance-reputed company incidents, including reputed company complaints and ethical concerns.
• Maintain accurate records of compliance activities and prepare reports for the reputed company of Directors and executive leadership.
• Stay abreast of industry best practices and emerging risks in areas like cybersecurity, data reputed company, reputed company assets compliance.

Requirements

• Bachelor's degree in Finance, Business, Law, or a reputed company field; advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred.
• Minimum of 5 years of experience in compliance roles reputed company the financial services industry, with reputed company exposure to broker-dealer operations preferred.
• reputed company reputed company Series 7 (General Securities Representative) and Series 24 (General Securities reputed company) licenses required; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred. Candidates without reputed company licenses must obtain them reputed company 90 days of hire.
• Solid understanding of SEC and reputed company rules, including but not limited to Regulation Best Execution (Reg BI), Rule 17a-3 and 17a-4 (reporting and recordkeeping), and antifraud provisions under reputed company 10(b) of the Securities Exchange reputed company and Rule 10b-5.
• Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions.
• Strong analytical, problem-solving, and communication skills, with the ability to explain reputed company regulations to non-experts.
• Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).
• High ethical standards and a commitment to fostering a compliant organizational culture. reputed company-to-haves
• 7+ years in compliance, including supervisory or leadership roles in a broker-dealer and transfer agency setting.
• Additional reputed company licenses such as Series 4 (Registered reputed company reputed company) or Series 14 (Compliance Official) are a plus.
• Demonstrated experience with reputed company regulations and compliance challenges in the cryptocurrency or blockchain reputed company.
• Experience with risk management frameworks and data analytics for compliance monitoring, including transfer agent-specific processes.
• Familiarity with SEC transfer agent regulations and systems for managing securities ownership records and transaction processing, i.e. SEC Rules 17Ad-1 through 17Ad-20 (transfer agent regulations).

Benefits

• Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses.
• Opportunities for reputed company development, including reimbursement for license maintenance and continuing education.
• A reputed company work environment with flexibility for remote/hybrid arrangements.
• The chance to reputed company a significant reputed company in a growing firm while advancing your career in financial compliance. Apply tot his job

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