What are the responsibilities and job description for the Head of Compliance, US position at QCP?
QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios.
We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics.
Driven by the vision to be the most trusted partner in digital asset markets, we provide innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury.
Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems.
We work to build trusted partnerships, putting client success and care at the heart of everything that we do.
The Head of Compliance will be responsible for designing, implementing, and overseeing the full compliance program of QCP’s US’s entity which will act primarily as a distributor for QCP’s products.
The Head of Compliance will serve as a General Securities Principal and will be a key member of the U.S. management team, with direct responsibility for regulatory compliance, supervisory systems, and regulatory engagement with FINRA / SEC / CFTC / NFA.
Responsibilities
Regulatory & Supervisory Oversight
- Act as the designated Head of Compliance and FINRA Principal of the U.S. broker-dealer.
- Develop, implement, and maintain: Written Supervisory Procedures (WSPs), Compliance Manual Code of Ethics, Conflicts of Interest policies
- Ensure compliance with:
- Securities Exchange Act of 1934; FINRA rules and guidance; Applicable state securities laws
- Oversee supervisory systems for: Registered representatives, sales and distribution activities and communications with the public
Product & Disclosure Governance
- Review and approve: offering memoranda and risk disclosures; Marketing and investor communications
- Monitor product developments to ensure continued regulatory alignment.
AML, Financial Crime & Risk Controls
- Serve as the designated AML Compliance Officer.
- Oversee: Customer Identification Program (CIP); Enhanced Due Diligence (EDD) for institutional and crypto-related clients; Sanctions screening and escalation; SAR monitoring and filing
Regulatory Engagement & Examinations
- Act as primary point of contact with Federal and State regulators:
- Licensing (Required or Immediately Obtainable)
- FINRA Series 7 – General Securities Representative
- FINRA Series 24 – General Securities Principal
- Licensing (Strongly Preferred)
- Series 66 – Uniform Combined State Law Exam
- Minimum 8–12 years of compliance or regulatory experience at: Broker-dealers, Investment banks or Structured products firms
- Demonstrated experience in drafting and maintaining WSPs, managing FINRA examinations, supporting or leading New Member Applications or material business expansions
- Experience with: Structured notes, fixed income, or derivative-linked securities with Institutional or accredited investor distribution models
The Environment We Offer
As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management.
Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term.
We also provide flexible working arrangement as required and a casual and fun environment to boot!