Job Description
REMOTE
Senior Compliance Leader - Digital Securities Location:
Remote - United States
Salary: $200,000 - $275,000 + Equity Potential + Benefits
Benefits: Medical, Dental, Vision, 401(k) w/match, Holidays, PTO Job Type: Full-Time Work Hours: Mon-Fri; 40-50 hrs. (flexible) Start Date: ASAP Sponsorship is not available REMOTE
Senior Compliance Leader - Digital Securities Description
Our client, a fast-growing, regulated trading platform in the digital asset space, is seeking a skilled
Senior Compliance Leader to join their team.
This is an exceptional opportunity for an experienced compliance professional who is ready for their next step into an executive position and is eager to grow into a Chief Compliance Officer (CCO) role. In this role, you will oversee core broker-dealer and ATS compliance functions, manage regulatory interactions, support ongoing licensing activities, and enhance compliance frameworks within a rapidly evolving environment. You will collaborate closely with executive leadership and bring a proactive, hands-on approach as you strengthen and modernize the compliance program.
This opportunity is ideal for a compliance leader seeking career growth, equity participation, and a key leadership role within a highly regulated and rapidly evolving segment of U.S. digital markets. REMOTE
Senior Compliance Leader - Digital Securities Responsibilities • Oversee compliance operations for the broker-dealer and ATS • Conduct trade surveillance, communication reviews, and AML/KYC monitoring • Manage regulatory exams, audits, inquiries, and filings (FINRA, SEC, state) • Maintain and enhance compliance policies, procedures, and internal controls • Partner with Product/Technology to embed compliance into platform updates and new initiatives • Support licensing and registration activity, ensuring strong regulatory standing • Ensure accurate books and records in accordance with BD/ATS requirements • Identify compliance risks, gaps, and process improvements • Lead and mentor compliance team members REMOTE
Senior Compliance Leader - Digital Securities Qualifications • Bachelor’s degree in Finance, Accounting, Economics, Business, Law, or related field required • Active FINRA Series 7 and Series 24 licenses required • 7+ years of compliance experience in a broker-dealer, ATS, exchange, or fintech trading environment required • Hands-on experience with trade surveillance, supervisory reviews, and regulatory exams required • Familiarity with digital securities or innovative trading platforms required • Ability to work fully remote while keeping ET business hours required Apply tot his job