Chief Compliance Officer (Remote) — Build Digital-Asset Regs

Confidentiel; Chicago (IL); Teletrabalho; USD 150 000 - 210 000; Tempo integral

Resumo da oferta

Confidentiel, a U.S.-based digital-asset trading startup, seeks a compliance leader with an active Series 3 to establish and own the U.S. compliance program from the ground up. You will become the listed principal, registered AP, and NFA Security Manager, handling day-to-day compliance after registration.

Based anywhere in the U.S. (Chicago preferred), you will set up ORS as Security Manager, prepare Form 7-R/8-R, develop WSP/AML/ISSP, and train staff.

Qualificações

• Active Series 3 required and eligible for NFA registration.
• Strong working knowledge of CFTC regulations and NFA rules for IBs.
• Ability to build and lead a compliance program from scratch.

Responsabilidades

• Set up NFA ORS as Security Manager and lead registration.
• Complete Form 7-R for the firm and Form 8-R for principals/APs; coordinate with guarantor FCM.
• Develop WSP, AML program, ISSP, BC/DR plan, and ethics training procedures.

Conhecimentos

Series 3

Regulatory knowledge

English communication

Startup mindset

Ferramentas

NFA ORS access

Form 7-R

Form 8-R

Descrição da oferta de emprego

Confidentiel, a U.S.-based digital-asset trading startup, seeks a compliance leader with an active Series 3 to establish and own the U.S. compliance program from the ground up. You will become the listed principal, registered AP, and NFA Security Manager, handling day-to-day compliance after registration.

Based anywhere in the U.S. (Chicago preferred), you will set up ORS as Security Manager, prepare Form 7-R/8-R, develop WSP/AML/ISSP, and train staff.