Chief Compliance Officer - Broker Dealer - Remote

Overview

Wintermute is a leading global player in the digital asset markets, seeking a Chief Compliance Officer to ensure compliance with SEC, FINRA, and state regulations.

In Short

• Establish and implement compliance standards and procedures.
• Manage FINRA Gateway filings and regulatory reporting.
• Oversee trade-related compliance activities.
• Coordinate responses to regulatory inquiries.
• Manage the AML compliance program.
• Develop compliance materials and training.
• Review marketing materials for compliance.
• Support compliance and regulatory projects.
• Conduct regulatory horizon scanning.
• Communicate regulatory impacts to stakeholders.

Requirements

• Series 7 and 24 licenses required.
• 8+ years of compliance experience in a senior role.
• Strong understanding of SEC and FINRA regulations.
• Experience in proprietary trading and financial services.
• Ability to interpret regulations and implement changes.
• Excellent communication skills.

Benefits

• Work at an innovative trading firm.
• Accelerated responsibilities and ownership.
• Vibrant working culture with team events.
• Informal and collaborative company culture.
• Performance-based compensation with earning potential.