About the job
Job Title: Compliance Manager
Company: Tokensoft Inc.
Location: TBD (San Francisco, Austin, Los Angeles or remote)
Role Type: Full-time / Part Time
Tokensoft Inc., a leading technology platform for blockchain-based assets, is seeking an experienced Compliance Manager. As a compliance manager, you will oversee our compliance team to ensure procedures comply with legal regulations and internal policies. Additionally, there will be the opportunity to watch over the product development lifecycle to ensure compliance with securities regulations.
- Establish supervision and control of the firm's activities to ensure it complies with applicable laws and regulations.
- Review current processes and procedures to ensure compliance and make necessary adjustments.
- Leading all regulatory exams and inquiries, demonstrating your expertise and commitment to compliance.
- Monitor internal know-your-customer (KYC) and anti-money laundering (AML) programs.
- Research rules and regulations to implement best practices; and apply pragmatism to a complicated regulatory environment
- Stay current with upcoming regulatory changes and incorporate them into policies and procedures for ongoing compliance
- Design, implement, and drive adoption of compliance procedures and policies for the company's cryptocurrency operations, including its overlap with broker-dealer and investment adviser services
- Maintain related regulatory records for accurate information on various procedures and approvals
- Lead special training, audits, and compliance risk management best practice
- Work closely with other teams to help build out and manage procedures and policies necessary to maintain compliance and efficiency
- Manage the end-to-end workflow of a program focused on assessing AML risks related to new and existing clients to effectively mitigate potential AML risk exposure, by including appropriate risk-based procedures for conducting ongoing customer due diligence, to include, but not be limited to.
- Perform regular AML risks related monitoring process and transaction surveillance works of all firm’s business units.
- 5+ years of compliance experience within registered, institutional investment organizations
- Knowledge of Bank Secrecy Act, Securities Act of 1933 and Securities Act of 1944.
- Prior experience with banks that are supervised by the FDIC, CFPB and/or state banking regulatory bodies.
- Familiarity with all aspects of Broker Dealer rules and regulations including but not limited
- to FINRA, SEC, FinCen, and Federal Regulation
- Excellent knowledge of reporting procedures and record keeping.
- A business acumen partnered with a dedication to legality.
- Excellent oral and written communication skills.
- Bachelor's degree in Law, Business Administration or related field.
What We Offer:
- Competitive salary package.
- Comprehensive benefits including medical, dental, and vision coverage.
- Opportunity to work in a fast-paced, high-tech environment with a dedicated team of industry professionals.
This job description is for informational purposes, to describe the primary duties, skills and abilities necessary to meet the requirements of this position. This description is not intended to be an exhaustive list of all requirements or responsibilities. It is an outline detailing the fundamental roles and duties of the position. Responsibilities may change at any time with or without notice.
(Note: The details such as location and benefits may be customized based on Tokensoft's actual conditions and policy.)