CoinDesk
digital-asset
ChiefComplianceOfficer,USRegulatedEntities
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“Chief Compliance Officer, US Regulated Entities at CoinDesk. Skills: US compliance program across digital-asset exchange, futures/derivatives, and securities business lines, CFTC/NFA and SEC/FINRA regulation, building and scaling compliance infrastructure in a dynamic digital-asset environment. Maintain and enhance BUSO's compliance program, policies, and procedures in accordance with applicable federal and state law.. Oversee AMLSA/OFAC programs, including KYC onboarding, transaction monitoring”
Industry & Context.
What They're Looking For.
Must Have
12+ years of progressive compliance experience in US financial services, with meaningful responsibility in a senior or CCO-level role., Deep knowledge of SEC and FINRA rules applicable to broker-dealers, including supervisory obligations, AML requirements, and registration/licensing frameworks., Working knowledge of CFTC and NFA requirements applicable to FCMs, including NFA registration rules, customer protection requirements, and CFTC regulations., Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN., understanding of AMLSA obligations and FinCEN regulatory requirements., Demonstrated ability to build and lead compliance teams and programs from the ground up., Excellent written and verbal communication ability to engage credibly with regulators, senior management, and the Board., J. D. or bachelor's degree in law, finance, business, or a related field., Eligibility and willingness to obtain FINRA Series 7, 14 and 24 licenses and NFA Series 3 or other relevant NFA registration.
Nice to Have
Experience in or deep familiarity with digital-asset or cryptocurrency exchange compliance., Prior experience at or with a Broker-Dealer, FCM or similar institution, Active NFA Series 3 and/or FINRA Series 7, 14, 24 licenses., Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or FINRA., Familiarity with CFTC-regulated digital-asset derivatives guidance and the evolving US crypto regulatory landscape.
What You'll Do.
Maintain and enhance BUSO's compliance program
and procedures in accordance with applicable federal and state law.
Oversee AMLSA/OFAC programs
including KYC onboarding
transaction monitoring
and SAR filing obligations.
Serve as primary compliance liaison with state and federal regulators with jurisdiction over BUSO's digital-asset exchange activities.
Manage regulatory examinations
and enforcement matters relating to BUSO.
Build and lead the broker-dealer compliance program from the ground up
including development of WSPs
and FINRA-required procedures.
Manage FINRA examinations
and regulatory inquiries.
Ensure compliance with SEC and FINRA rules applicable to digital-asset securities activities
Work closely with legal counsel on broker-dealer licensing
and product approval processes.
Establish and administer a CFTC- and NFA-compliant compliance program
including written supervisory procedures (WSPs)
and annual review obligations.
Oversee NFA registration requirements
including associated persons (APs) registration and branch office supervision.
Supervise the application of surveillance and monitoring of trading and order activity as per the FCMs’ provisions.
Serve as NFA Compliance Liaison and DSRO manage NFA audits and routine examinations.
Monitor evolving CFTC rulemaking (including digital-asset derivatives guidance) and update FCM compliance framework accordingly.
Oversee customer fund segregation compliance and FCM financial condition reporting.
Lead market surveillance oversight for US regulated venues.
Identify and manage regulatory risk arising from new products
and business initiatives.
How You'll Work.
Team & Collaboration
Collaborate with global compliance leads, legal, technology, and business teams to ensure a coordinated enterprise-wide compliance posture.
Communication Scope
Excellent written and verbal communication ability to engage credibly with regulators, senior management, and the Board.
Full Job Description
**CoinDesk is the most trusted media, events, indices and data company for the global crypto economy. Since 2013, CoinDesk Media has led the story of the future of money and investing, illuminating the transformation in society and culture that comes with it. Our award-winning team of journalists delivers news and unparalleled insights that bring transparency, comprehension and context. CoinDesk Events gathers the global crypto, blockchain and Web3 communities at annual events such as Consensus, the world’s largest and longest-running crypto festival. CoinDesk Indices offers expertise in digital asset indices, data and research to educate and empower investors. For more information on CoinDesk media and events, please visit [http://coindesk.com [coindesk.com]](https://urldefense.com/v3/__http://coindesk.com__;!!PKfFmjksEw!2TSQq3dLb5GNoSOmf7Ydsps7HUveuUD_kYQMOoOGpCNOAgHiewyKqrZTMXBuMJF44wb__0tGEe9xSYim$) and for breaking headlines, data and indices visit [http://coindeskmarkets.com [coindeskmarkets.com]](https://urldefense.com/v3/__http://coindeskmarkets.com__;!!PKfFmjksEw!2TSQq3dLb5GNoSOmf7Ydsps7HUveuUD_kYQMOoOGpCNOAgHiewyKqrZTMXBuMJF44wb__0tGER8NlCr7$) ** **In November 2023, CoinDesk was acquired by the Bullish group, owner of Bullish, a regulated, digital assets exchange. For more information on Bullish, please visit[https://bullish.com](http://bullish.com) . CoinDesk operates as an independent subsidiary with an editorial committee to protect journalistic independence.** **Reports to:** Vice President, Compliance ** _Position Overview_** This is a senior leadership role with unique breadth: serving as the Chief Compliance Officer for our US spot trading entity - Bullish US Operations, LLC, our expanding derivatives business, and our tokenized securities endeavors. The successful candidate will own the full US compliance program across digital-asset exchange, futures/derivatives, and securities business lines — and will be a critical voice in shaping how Bullish g
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