Senior Compliance Manager Tokenized Securities Venue Americas
OKX is a leading global cryptocurrency exchange offering a wide range of trading services, including spot and derivatives trading, as well as Web3 solutions.
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About OKX
OKX is a global cryptocurrency exchange known for its trading services and financial products. The platform offers a wide range of features, including spot and derivatives trading, staking services, and a user-friendly interface suitable for both beginners and experienced traders.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will own the compliance program for an SEC-exempt tokenized securities venue. You will test controls, maintain examination-ready records, manage notices and filings, monitor trading limits and participant wallets, escalate reportable events, report to governance leaders, and manage a Compliance Analyst.
Requirements
- 8+ years of compliance experience at a broker-dealer, exchange, ATS, or digital asset firm
- Direct experience with SEC-regulated activity
- Knowledge of federal securities laws for trading venues, including Regulation ATS and Regulation NMS
- Experience building or operating compliance programs under regulatory conditions, exemptive relief, or no-action positions
- Knowledge of blockchain-based trading, self-custodied wallets, smart contracts, liquidity pools, and on-chain screening
- Drafting skills for public disclosures and procedures
- Ability to work with Product, Engineering, and Legal teams across time zones
Responsibilities
- Own the compliance program for the venue's SEC exemption
- Track exemption conditions, test controls, and maintain regulatory examination records
- Manage public notices, corrections, and material-change filings
- Run the issuer notice process and confirm stock listing dates
- Monitor trading limits, halts, eligible stablecoins, and required SEC notifications
- Oversee participant onboarding, KYC/KYB, sanctions screening, wallet records, and SBT credentials
- Report to the Board of Managers and compliance leadership
- Manage and develop a TSV Compliance Analyst
Benefits
- Team-building programs and company events
- Wellness and meal allowances
- Healthcare coverage for employees and dependants
