Crypto.com is seeking an experienced professional to oversee US Broker-Dealer compliance operations, working closely with our FINRA-licensed entity to ensure compliance with regulators and support business needs.

Requirements

  • Own and manage all compliance testing, office inspections, and best execution reviews
  • Prepare and submit regulatory filings, including Forms U4, U5, Form BD, Form BR, CMA, and MatCon
  • Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations
  • Manage FINRA Rule 4530 Reporting and respond to regulatory inquiries in a timely and organized manner
  • Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards
  • Support Margin and Options compliance and risk management
  • Support the NH Trust Custody program, including IRA-related compliance matters
  • Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes
  • Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations

Benefits

  • Competitive salary
  • Attractive annual leave entitlement
  • 401(k) plan with employer match
  • Eligible for company-sponsored group health, dental, vision, and life/disability insurance