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Director, US Broker-Dealer Compliance
United States
RemoteComplianceJob Description
Crypto.com is seeking an experienced professional to oversee our US Broker-Dealer compliance operations. This role is the primary owner of Broker Dealer compliance, working closely with our FINRA-licensed entity to ensure we remain in good standing with regulators while supporting the day-to-day needs of the business. In addition to core Broker Dealer responsibilities, this person will also support our New Hampshire Trust Custody program and related compliance functions.
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