Gemini is a next generation cryptocurrency platform that allows customers to buy, sell, store and earn crypto.
Head of Compliance
Location
California + 2 moreAll locations: California | New York | Washington
Posted
1 day ago
Salary
$150.5K - $279.5K / year
Seniority
Lead
Job Description
Head of Compliance
Gemini
• Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program • Oversee the FCM compliance program, including the firm's risk management program and annual CCO report • Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM • Supervise trade and market surveillance across the firm's securities and derivatives products • Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries • Maintain the firm's AML program covering both broker-dealer and FCM activities • Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures • Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations • Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements • Review and approve advertising, marketing, and sales materials
Job Requirements
- BA/BS degree
- Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- 10+ years of securities and/or commodities regulatory compliance experience
- Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- Comfort working in a technology-forward environment
- Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- Authorization to work in the United States and fluency in English.
Benefits
- Competitive starting pay
- A discretionary annual bonus
- Long-term incentive in the form of a new hire equity grant
- Comprehensive health plans
- 401K with company matching
- Paid Parental Leave
- Flexible time off
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