A digital currency exchange and custodian that offers customers the ability o buy, sell, and store digital assets such as Bitcoin and Ethereum seeks a Regulatory Officer (RO).
If you believe in the long term upside potential of the FinTech space generally, and cryptocurrencies specifically, desire a fast-growing firm within a dynamic area, and the chance to work on cutting edge regulatory and compliance matters, then this is a perfect place for you.
The RO, who will report directly to the Chief Compliance Officer, will be involved with an array of important regulatory matters relative to the firm including the following:
The Regulatory Officer will serve as the central point of contact for all regulatory inquiries, manage any regulatory examinations, and ensure consistency of message on cross-functional issues.
The RO will answer regulator’s ad-hoc queries about the firm’s businesses and products.
He/she will assist the Chief ComplianceOfficertodealwithregulatoryinspections,meetings,queriesandreportingrequirements.
The RO will gain an understanding of the regulatory risks of the products offered by and business activities of the company.
He/she will analyze and evaluate new products to determine compliance with established rules and regulations.
Ensure compliance of existing risk processes which includes providing advice on how to amend risk models or processes to comply with specific local regulations, highlighting potential regulatory issues.
Produce management information and facilitate reporting to senior managementtoensurethatallregulatoryissuesareidentifiedandaddressedappropriately.
Coordinate the response to subpoenas and other law enforcement requests made of the company.
Serve as the escalation point for customer complaints, ensuring that the firm’s response to customers and regulators are accurate and complete..
- Minimum of 5 years of regulatory coordinator or officer experience in the financial services industry with specific experience with the NYDFS
- Experience managing and executing regulatory inspections and meetings
- Bachelor’s degree in Business, Finance, Risk Management or related field, or equivalent experience
- Good communication skills; teamwork oriented
- Experience with FINRA, SEC, CFTC and other financial regulators
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.