Wintermute
Chief Compliance Officer - Broker Dealer
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Job Description
- Req#: 810a7ec1-dca1-419c-b5e5-2db5854f8b59
Employer Industry: Digital Asset Trading
Why consider this job opportunity:
- Opportunity for significant earning potential with performance-based compensation
- Engage in innovative projects offering accelerated responsibilities and ownership compared to traditional finance
- Dynamic and vibrant company culture with team events, celebrations, and outings
- Fully remote work opportunity, with potential future in-office collaboration
- Work at a leading firm in the cryptocurrency and algorithmic trading space
What to Expect (Job Responsibilities):
- Design, implement, and maintain the broker-dealer compliance program in line with SEC and FINRA regulations
- Manage FINRA Gateway filings and coordinate broker-dealer audits and inspections
- Oversee trade-related compliance activities and manage the firm’s AML compliance program
- Develop compliance training materials and review marketing materials for regulatory compliance
- Conduct regulatory horizon scanning and communicate regulatory impacts to stakeholders
What is Required (Qualifications):
- Series 7 and 24 licenses required
- Minimum of 8+ years of compliance experience, preferably in a senior role supporting a broker-dealer
- Strong understanding of SEC and FINRA regulations
- Experience in proprietary trading, financial services, and/or cryptocurrency
- Excellent communication skills, both written and verbal
How to Stand Out (Preferred Qualifications):
- ATS and TRACE reporting experience
- Previous experience in securities trading with a strong interest in algorithmic trading and decentralized finance
- Owner mentality focused on protecting the company from compliance risks while supporting growth
- Proven ability to be both a strategic thinker and hands-on executor
- Entrepreneurial mindset, willing to work non-standard hours as needed
#DigitalAssets #ComplianceOfficer #CryptoTrading #RemoteWork #CareerGrowth #PerformanceBasedCompensation
"We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately. We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer."About the company
Wintermute is a leading global crypto market maker. We are partnering with the world's best crypto exchanges and projects to provide liquidity. We are fully compliant and have decades of experience in high-frequency trading.
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