Senior Compliance Director - Securities & AML Leader

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

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.