Compliance Director

Company Overview A leading digital asset infrastructure company is seeking a broker-dealer license in connection with extending its digital real-world asset infrastructure to US customers. The company operates a modular Ethereum-based blockchain platform specializing in real-world asset (RWA) tokenization and finance (RWAfi). Founded to bridge institutional finance and blockchain, the platform has rapidly grown to over $480M in total value locked and represents a significant share of RWA holdings across public blockchains globally. Backed by leading institutional investors from both traditional finance and digital assets, the company is building the infrastructure layer for bringing real-world assets on-chain. As the Chief Compliance Officer for the firm's broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a growing ecosystem of tokenized real-world assets. You will play a key role in obtaining broker-dealer and transfer agent licenses, designing comprehensive compliance programs, and ensuring ongoing adherence to FINRA, SEC, and other regulatory requirements. In addition, this role will serve as the AML/Compliance Officer for the company's affiliated Bermuda-regulated digital asset business. You will oversee anti-money laundering and anti-terrorist financing (AML/ATF) programs and serve as the primary compliance liaison with Bermuda regulators, helping bridge US securities compliance and international digital asset regulations. Job Summary The Chief Compliance Officer (CCO) will lead the broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies. This role is responsible for mitigating regulatory risk, fostering a strong culture of compliance, and serving as the primary liaison with regulatory bodies such as FINRA and the SEC. The CCO will oversee compliance for broker-dealer activities, transfer agent operations, AML programs, regulatory reporting, transaction monitoring, sanctions screening, and regulatory examinations. This opportunity is ideal for senior compliance professionals seeking a leadership role within a fast-growing digital asset and financial infrastructure company. Key Responsibilities Develop, implement, and maintain compliance policies, procedures, and internal controls for broker-dealer operations. Assist with regulatory licensing processes, including broker-dealer registrations and related filings. Monitor and interpret regulatory developments from FINRA, the SEC, and other regulatory bodies. Conduct internal audits, compliance reviews, risk assessments, and testing programs. Oversee Anti-Money Laundering (AML) programs, including suspicious activity reporting and customer due diligence. Lead AML/ATF compliance programs for affiliated digital asset operations, including transaction monitoring, sanctions screening, PEP screening, and regulatory reporting. Ensure compliance with transfer agent regulations covering recordkeeping, securities safekeeping, and transfer processing. Provide compliance training and guidance across business, operations, and commercial teams. Manage regulatory examinations, inquiries, audits, and filings. Partner with leadership teams to incorporate compliance considerations into product development and business strategy. Investigate and resolve compliance-related incidents, complaints, and ethical concerns. Prepare compliance reports for executive leadership and board-level stakeholders. Monitor emerging risks related to digital assets, cybersecurity, data privacy, and financial crime. Qualifications Bachelor's degree in Finance, Business, Law, or a related field. Advanced degree (JD, MBA, or equivalent) preferred. Relevant certifications such as CAMS, CRCP, or similar credentials preferred. Minimum 5 years of compliance experience within financial services. Direct broker-dealer compliance experience strongly preferred. Active FINRA Series 7 and Series 24 licenses required. Series 63 or equivalent state registrations preferred. Blockchain analytics or investigations certifications (e.g., Chainalysis, TRM Labs, or equivalent) preferred. Strong understanding of FINRA and SEC regulations, including recordkeeping, supervisory, AML, and conduct requirements. Experience managing compliance programs, audits, examinations, and regulator interactions. Excellent communication, stakeholder management, and problem-solving skills. Proficiency with compliance monitoring, reporting, and case management systems. High ethical standards and commitment to regulatory excellence. Preferred Experience 7+ years of compliance experience. Leadership or supervisory experience within broker-dealer, transfer agent, fintech, or capital markets environments. Additional FINRA licenses such as Series 4 or Series 14. Experience working with digital assets, blockchain companies, or cryptocurrency platforms. Familiarity with international regulatory frameworks governing digital assets. Experience serving as AML Officer, Compliance Director, or equivalent regulatory leadership role. Hands-on experience with blockchain analytics platforms and transaction monitoring tools. Strong knowledge of risk management frameworks and compliance analytics. Familiarity with securities ownership records, transfer agent operations, and related regulatory obligations. What We Offer Competitive compensation and performance-based incentives. Comprehensive health and retirement benefits. Professional development support, including licensing and continuing education reimbursement. Flexible remote and hybrid work arrangements. Opportunity to play a key role in building the compliance foundation of a rapidly growing digital asset infrastructure company