Director, US Broker-Dealer Compliance

Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations, working closely with our FINRA-licensed entity to ensure compliance with regulators and support business needs.

Requirements

• Own and manage all compliance testing, office inspections, and best execution reviews
• 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 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

Benefits

• Competitive salary
• Attractive annual leave entitlement
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance