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
Bachelors 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
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