Director, US Broker-Dealer Compliance

Life @ Crypto.com Empowered to think big. Try new opportunities while working with a talented, ambitious and supportive team. Transformational and proactive working environment. Empower employees to find thoughtful and innovative solutions. Growth from within. We help to develop new skill-sets that would impact the shaping of your personal and professional growth. Work Culture. Our colleagues are some of the best in the industry; we are all here to help and support one another. One cohesive team. Engage stakeholders to achieve our ultimate goal - Cryptocurrency in every wallet.  Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up Aspire career alternatives through us - our internal mobility program offers employees a new scope.   Are you ready to kickstart your future with us?  Benefits Competitive salary Attractive annual leave entitlement including: birthday, work anniversary 401(k) plan with employer match Eligible for company-sponsored group health, dental, vision, and life/disability insurance Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.   Our Crypto.com benefits packages vary depending on region requirements, you can learn more from our talent acquisition team. About Crypto.com: Founded in 2016, Crypto.com serves more than 150 million customers and is the world's fastest growing global cryptocurrency platform. Our vision is simple: Cryptocurrency in Every Wallet™. Built on a foundation of security, privacy, and compliance, Crypto.com is committed to accelerating the adoption of cryptocurrency through innovation and empowering the next generation of builders, creators, and entrepreneurs to develop a fairer and more equitable digital ecosystem. Learn more at https://crypto.com.  Crypto.com is an equal opportunities employer and we are committed to creating an environment where opportunities are presented to everyone in a fair and transparent way. Crypto.com values diversity and inclusion, seeking candidates with a variety of backgrounds, perspectives, and skills that complement and strengthen our team. Personal data provided by applicants will be used for recruitment purposes only. Please note that only shortlisted candidates will be contacted. country: US all locations: [United States] commitment: department: Compliance location: United States team: Regulatory Compliance & Operations Key Responsibilities: Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting Prepare and submit regulatory filings including Forms U4, U5, Form BD, Form BR, CMA and MatCon Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations Manage FINRA Rule 4530 Reporting and respond to all regulatory inquiries in a timely and organized manner Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards Support Margin and Options compliance and risk management Support the NH Trust Custody program, including IRA-related compliance matters Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations Qualifications: Experience with  Broker-Dealer compliance, and prior interaction with FINRA and the SEC FINRA registration required, including fingerprinting; Series 7 and Series 24 are required, Series 4 is strongly preferred Strong organizational skills with the ability to manage a broad scope of responsibilities independently Comfortable working across teams and communicating directly with state and federal regulators Familiarity with trust custody compliance and IRA regulations is a plus