Chief Compliance Officer
We are looking for a Chief Compliance Officer to join our fast-growing team.
Today’s disconnected and fragmented global digital asset trading systems lack enough liquidity, do not offer the best asset prices, and are too complicated, slow, and expensive for institutions trading at scale. A more simple, better, and cost-effective approach is needed -- one that can be customized to meet the specific needs of institutional traders and digital asset exchanges.
Responsibilities include, but are not limited to:
The Chief Compliance Officer (CCO) is responsible for the protection of the Company and its customers from any damage that might result from the failure to comply with regulatory obligations in the rapidly evolving digital asset space, and to assist the Executive Management in monitoring and mitigating compliance risks in line with Company's risk tolerance. The CCO develops, oversees and manages the Company’s compliance program, and acts as a point of contact for State and Federal Regulatory Agencies, while ensuring that the organization complies various regulatory, licensing, and other related requirements.
- Manage compliance risk, develop Company compliance culture, effective policies for compliance, and monitor compliance issues
- Manage certain core MTL regulatory relationships with state regulators
- Advise the company and its business lines on filing and other requirements under the company’s licenses across various jurisdictions
- Monitor customer and proprietary digital asset trading activity for regulatory and other compliance purposes.
- Provide novel effective legal solutions for business stakeholders on routinely short timelines in a changing regulatory landscape.
- Define the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
- Develop the annual compliance work plan that reflects the organization's unique characteristics.
- Oversee implement and monitor the execution of compliance program.
- Provide strategic direction to the management team on compliance.
- Interacting with regulators and stakeholders on compliance issues.
- Coordinating efforts related to audits, reviews, and examinations.
- Monitoring external review processes.
Things That Should Be In Your Background:
- 8+ years in financial crimes, AMLand or senior Compliance management experience.
- Deep understanding of financial and trading laws across all 50 states
- Experience in digital assets.
- Knowledge of MSB entity compliance requirements
- Knowledge of broker-dealer entity and ATS compliance requirements
- Knowledge of NMLS and licensing requirements
- Ability to do independent research and apply it to new and developing situations
- Ability to build and create structure from the ground up
- Prior start up experience
- Series 7 and one additional Series licensed required, ideally Series 24
- Knowledge and application of SEC, FINRA and CFTC/NFA rules and regulations, and other US and non-US (Europe, APAC..) regulatory requirements.
About Apifiny:
Apifiny is a global digital asset trading network. Apifiny HEX (Hybrid Exchange) is designed to provide institutional traders with the best of centralized and decentralized trading, including zero taker fees, global price discovery, and deep liquidity from automated market making (AMM) and 25 centralized exchangers that collectively capture the majority of global spot trading volume. Apifiny HEX will combine centralized and AMM orders into one global order book. Apifiny also allows institutions to trade directly on 25 leading exchanges through its website or a single set of APIs. The company empowers institutional traders to execute global, multi-exchange strategies and access normalized market data, tighter spreads, and higher fill rates and capital utilization. Headquartered in the Greater NYC Area, Apifiny is a regulated trading platform with institutional-grade security and compliance. For more information, visit https://www.apifiny.com/.
Apifiny is proud to be an equal opportunity employer. We are committed to building a diverse and inclusive culture and celebrate authenticity. We do not discriminate on the basis of race, religion, color, national origin, gender, gender identity, sexual orientation, age, marital status, disability, protected veteran status, or any other legally protected characteristics.
