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Chief Compliance Officer - USA
CEX.IO New York, NY
Full Time 8 Months Ago
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CEX.IO is Hiring a Chief Compliance Officer - USA Near New York, NY

Reporting to the CEO with a matrix reporting line to the Global Chief Compliance Officer, the U.S. Chief Compliance Officer is responsible for all regulatory and compliance matters within the designated U.S. region. 

CEX.IO offers an incredibly exciting working environment, founded in 2012 with a history that makes us proud. For 2022 our Founder-led focus is on structural review, build and alignment, and embedding rigor and discipline throughout the firm to ensure well-considered management decision-making and prioritization. It will be your job to keep us safe and informed, and whilst there are bound to be bumps and challenges along the way, ensuring those bumps never come as a surprise will be your authentic measure of success.

The core purpose of your role is to enable and ensure effective compliance in meeting regulatory expectations.

You will have frequent engagement with the highly skilled and industry-legend product, engineering, legal, finance, and HR professionals, and your impact will be wide and deep, meaning you should be comfortable and prepared to explain compliance processes and needs to non-compliance specialists on our engineering team. 

You must be, or be prepared to become, immersed in the existing cryptosphere compliance challenges for our firm, with one eye directed upon the Web3 horizon. Being excited about stuff like the travel rule and emerging market abuse frameworks, and how this applies across the cryptosphere and its counter-parties is only one example of how we are working on a different level than Trad-Fi. If you have a mixture of Trad-fi and DeFi perspectives, that will help, but any aspects of unique and complex compliance challenges in your background will be transferable.

You will be a global citizen, comfortable with dealing with diverse colleagues kindly, even when they are not exactly like you. The pace is lightning speed, oftentimes there is a lot of ambiguity, and your ability to prioritize under pressure will build muscle and stature with us. 

Crypto emerged with a bang into a regulatory vacuum and we have seen the introduction of sometimes ambiguous and ill-fitting regulation and enforcement which nonetheless, we support as a hallmark of trust and credibility necessary for the next stage of CEX.IO’s growth. This is a leadership role of the highest importance. You will be supported and befriended by awesome colleagues across the globe in driving your compliance agenda to a state of maturity.

Main tasks and responsibilities:

  • Leading the mapping of regulatory imperatives to allow our people and systems to translate those into relevant and responsive policies, rules, and controls.
  • Ensuring the CEX.IO Enterprise Risk Assessment protocol is executed in a timely and accurate manner.
  • Being our MLRO and all that entails.
  • Ensuring a compliance culture is embedded with all your stakeholders.
  • Leading U.S. strategic and tactical regulatory projects, process improvements, policy alignment, and driving the compliance framework needs for your region;
  • Prepare and schedule monitoring and testing of the effectiveness of policies, procedures, and internal controls mapped to assess the company's compliance with applicable regulatory requirements and risk appetite;
  • Track and control all compliance work-streams for your region.
  • Managing and leading all aspects of compliance and audit activities, in particular reporting, for both State and Federal examinations;
  • Responding to any advisory queries that are related to regulatory or policy matters with accurate, commercial, and trusted advice;
  • Leading positively in the management of relationships with regulators in all relevant jurisdictions, fostering an environment of mutual trust and respect;
  • Supporting and coordinating the focus of senior management on managing the money laundering/terrorist financing risk in individual business areas.
  • Serving as the face and voice of CEX.IO’s compliance future.

Essential Skills and Experience:

  • 5 years of  relevant experience in the financial services sector within a compliance function (preferably trading or crypto or payments);
  • Strong knowledge and business experience of compliance and regulations including NYDFS, SEC, FinCEN, BSA/AML, Financial Promotions, and other Federal and State financial regulations;
  • Specific relevant experience in regulatory reporting, distribution rules, and regulatory and compliance requirements in different U.S. jurisdictions;
  • Experienced in preparing for and executing successful regulatory examinations.
  • Previous experience designing, leading, and executing risk assessments, transaction analysis, and sanctions screening, making suspicious activity determinations, and managing monitoring, audits, and regulatory inquiries/interactions;
  • Broad understanding of onboarding and account review procedures for retail and institutional customers;
  • Ability to act at all levels of the firm, rolling up sleeves where necessary, maintaining focus on corporate objectives, acting proactively to ensure compliance risk management is up-to-date, ensuring accurate and timely reporting to management, and meeting regulatory expectations. 
  • Excellent analytical, technical, and problem-solving skills, with strong attention to detail;
  • Exceptional communication, collaboration, and time management skills.

What makes for a successful hire at CEX.IO?

  • Understanding and preparing for the cultural distance between Trad-Fi and De-Fi and why being able to transition and operate across both environments with ease.
  • A rounded business person who can empathize with stakeholders and acknowledge their needs from across the enterprise.
  • Someone who uses fewer words, rather than more, ensuring they still get their message across.
  • A love of order, discipline, rigour, and a project management approach to execution when solving complex issues.
  • Can-do/execution-oriented delivery.
  • Someone who inspires confidence in others about their skill set and integrity, and who delivers the same confidence to their stakeholders through timely and constructive feedback.
  • Being kind, even when nobody may be watching.
  • Staying calm and focussed under pressure, never fearing to speak up in an appropriate and fact-based manner.

Job Summary

JOB TYPE

Full Time

POST DATE

07/23/2022

EXPIRATION DATE

12/06/2022