Compliance Director

Plume Network; United States; Remote; USD 140,000 - 210,000; Full time

Job summary

Plume Network seeks a Chief Compliance Officer to lead its broker-dealer and transfer agent compliance programs in the US. You will coordinate with SEC/FINRA, oversee AML for KDAB, and guide regulatory filings and risk assessments.

The role requires senior-level experience in financial services compliance, with active FINRA licenses and a strategic focus on digital assets compliance and governance.

Qualifications

• Bachelor's degree in Finance, Business, Law or related field.
• Minimum 5 years of compliance experience in financial services, broker-dealer exposure preferred.
• Active FINRA licenses (Series 7 and Series 24) required; Series 63 preferred.

Responsibilities

• Develop, implement, and maintain compliance policies for broker-dealer operations.
• Monitor SEC/FINRA regulatory changes and update firm practices.
• Oversee AML program, including suspicious activity reporting and due diligence.
• Coordinate with regulators and manage examinations and filings.
• Provide training and guidance on compliance to staff across departments.

Skills

Regulatory compliance

Financial services experience

Education

Bachelor's degree in Finance, Business, Law

Advanced degree (JD, MBA) preferred

Tools

FINRA licenses (Series 7, 24)

Job description

Job Summary

The Chief Compliance Officer (CCO) will lead Plume’s broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies. This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary liaison with regulatory bodies such as the SEC and FINRA. The CCO will oversee compliance for both broker-dealer activities and transfer agent functions, including securities registration, transfer, and recordkeeping. The CCO will concurrently serve as the AML/Compliance Director for KDAB, overseeing its DABA-licensed digital asset business AML/ATF program, transaction monitoring, sanctions screening, and reporting obligations to the BMA. We encourage applications from senior- and mid-level professionals with strong foundational experience who are ready to step into a leadership position in a fast-moving digital asset start-up.

Key Responsibilities

• Develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume’s public blockchain-based broker-dealer operations.
• Assist in drafting and negotiating materials in connection with Form BD submission.
• Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities, and update firm practices accordingly.
• Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues.
• Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program, including suspicious activity reporting and customer due diligence.
• Serve as KDAB’s AML/Compliance Director, owning its DABA-mandated AML/ATF program, including the risk assessment, customer due diligence, ongoing transaction monitoring, sanctions and PEP screening, suspicious transaction reporting to the Financial Intelligence Agency, and freeze/seize procedures, and act as the primary point of contact for the BMA on AML/ATF supervision.
• Ensure compliance with transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, covering recordkeeping, safekeeping of securities, and timely processing of transfers and issuances.
• Provide compliance training and guidance to employees, including sales, trading, and operations teams.
• Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports.
• Collaborate with senior management to integrate compliance considerations into business strategies and product development, particularly in US digital asset offerings.
• Investigate and resolve compliance-related incidents, including client complaints and ethical concerns.
• Maintain accurate records of compliance activities and prepare reports for the Board of Directors and executive leadership.
• Stay abreast of industry best practices and emerging risks in areas like cybersecurity, data privacy, and digital assets compliance.

Qualifications

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred.
• Minimum of 5 years of experience in compliance roles within the financial services industry, with direct exposure to broker-dealer operations preferred.
• Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses required; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred. Candidates without current licenses must obtain