Chief Compliance Officer, US Regulated Entities

Skills

About the Role

You will own and operate the full US compliance program across digital-asset exchange, broker-dealer, and derivatives business lines. You will maintain policies and written supervisory procedures, oversee AML/BSA/OFAC and KYC onboarding, run transaction monitoring and SAR filing, and manage regulatory examinations and enforcement. You will serve as the primary liaison to federal and state regulators, build and lead the US compliance team, develop and deliver compliance training, and ensure compliance for broker-dealer and FCM/derivatives activities including registrations, licensing, surveillance, and customer fund segregation.

Requirements

• 12+ years of progressive compliance experience in US financial services with senior or CCO-level responsibility
• Deep knowledge of SEC and FINRA rules applicable to broker-dealers including supervisory obligations and AML requirements
• Working knowledge of CFTC and NFA requirements applicable to FCMs including NFA registration rules and customer protection requirements
• Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN
• Strong understanding of AML/BSA obligations and FinCEN regulatory requirements
• Demonstrated ability to build and lead compliance teams and programs from the ground up
• Excellent written and verbal communication skills and ability to engage with regulators, senior management, and the Board
• J.D. or bachelor's degree in law, finance, business, or a related field
• Eligibility and willingness to obtain FINRA Series 7, 14 and 24 licenses and NFA Series 3 or other relevant NFA registration

Responsibilities

• Maintain and enhance BUSO's compliance program, policies, and procedures in accordance with federal and state law
• Oversee AML, BSA, and OFAC programs including KYC onboarding, transaction monitoring, and SAR filing
• Serve as primary compliance liaison with state and federal regulators
• Manage regulatory examinations, inquiries, and enforcement matters
• Build and lead the broker-dealer compliance program and develop WSPs and supervisory controls
• Serve as registered Chief Compliance Officer and manage FINRA examinations and 8210 requests
• Ensure compliance with SEC and FINRA rules applicable to digital-asset securities activities including Reg BI and recordkeeping
• Establish and administer a CFTC- and NFA-compliant derivatives compliance program
• Oversee NFA registration requirements, associated persons registration, and branch office supervision
• Supervise market surveillance and monitoring of trading and order activity
• Oversee customer fund segregation compliance and FCM financial condition reporting
• Provide regular compliance reporting to senior management and the Board
• Build, manage, and mentor a high-performing US compliance team
• Develop and deliver compliance training programs tailored to US regulated business lines
• Identify and manage regulatory risk arising from new products, markets, and business initiatives

Benefits

• Discretionary annual target bonus
• Performance incentives
• Reasonable accommodations for applicants with disabilities