Senior Compliance Manager, Tokenized Securities Venue (Americas)

RWA Signal; San Jose (CA); On-site; USD 180,000 - 280,000; Full time

Benefits offered by this job

Competitive compensation package

Wellness and meal allowances

Job summary

OKX is seeking a Senior Compliance Manager to own the compliance program for the tokenized securities venue OKXICE TSV. You will monitor the exemption conditions, manage public and issuer notices, and oversee on‑chain onboarding for tokenized US‑listed stocks.

Work with Legal, Product, Web3 Risk Control and AML teams to build and run the program, including KYC/KYB, wallet surveillance, and SBT credentialing. You will report to leadership and the Board of Managers.

Qualifications

• 8+ years of compliance experience at broker‑dealers, exchanges, or ATS.
• Direct experience with SEC‑regulated activities and federal securities laws.
• Proven background managing compliance programs under exemptive relief or no‑action positions.
• Familiarity with blockchain trading, smart contracts, and on‑chain wallet screening.
• Strong drafting skills with ability to translate technical/legal detail into disclosures and procedures.

Responsibilities

• Own the compliance program for the venue’s SEC exemption, including tracking conditions, testing controls and preparing records for regulatory examination.
• Oversee public and issuer notices, including filings and effective dates; monitor TSV limits and market data against thresholds.
• Lead participant onboarding and ongoing wallet maintenance with KYC/KYB, daily sanctions screening, and on‑chain wallet rescreening; issue/revoke SBT credentials.
• Report to the OKXICE LLC Board of Managers and Americas Compliance leadership; manage the TSV Compliance Analyst.

Skills

Regulatory experience

SEC-regulated activity

Program management

Blockchain familiarity

Drafting & disclosures

Cross-functional collaboration

Education

JD or equivalent legal background

Job description

This role manages the compliance framework for OKXICE TSV, a joint venture between OKX and Intercontinental Exchange operating under an SEC Innovation Exemption. The manager oversees the venue's regulatory obligations, including public disclosures, issuer notices, and on‑chain participant onboarding via soulbound tokens. You will bridge traditional securities law with blockchain infrastructure by monitoring trading limits and maintaining controls for tokenized US‑listed stocks.

• 8+ years of compliance experience at broker‑dealers, exchanges, or ATS.
• Direct experience with SEC‑regulated activities and federal securities laws.
• Proven background managing compliance programs under exemptive relief or no‑action positions.
• Familiarity with blockchain trading, smart contracts, and on‑chain wallet screening.

Securities Law Regulation ATS KYC/KYB On‑chain Surveillance Tokenized Securities Compliance Reporting

Summary written by RWA Signal. The employer’s own description follows below.

Who We Are

At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me, Do the Right Thing, and Get Things Done. These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er.

About the Opportunity

The Americas Compliance team is hiring a Senior Compliance Manager to own compliance for OKXICE TSV. OKXICE TSV is the tokenized securities venue run by the OKX and Intercontinental Exchange joint venture under the SEC’s Innovation Exemption, and it lets eligible US users trade tokenized US‑listed stocks on‑chain. You’ll be the main person accountable for meeting the exemption’s ongoing conditions. You’ll work closely with Legal, Product, Web3 Risk Control and our AML, Sanctions and Surveillance teams. This is a new role on a new type of venue, so you’ll help build the program as well as run it.

What You’ll Be Doing

• Own the compliance program for the venue’s SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination. Manage the venue’s public notice: review revisions, control versions, and make sure the notice matches how the product actually works. This includes corrections and material‑change filings within the required deadlines. Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock’s listing date. Track and monitor TSV limits on an ongoing basis, including per‑stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins. Escalate breaches, significant operational events and required SEC notifications. Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on‑chain wallet rescreening, keeping wallet‑to‑participant records current, and issuing and revoking the soulbound token (SBT) credential that grants access. Report to the OKXICE LLC Board of Managers and to Americas Compliance leadership, and manage and develop a TSV Compliance Analyst.

What We Look For In You

• 8+ years of compliance experience at a broker‑dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC‑regulated activity.
• Working knowledge of the federal securities laws that apply to trading venues, such as Regulation ATS, Regulation NMS and market manipulation rules, plus the ability to apply them to new market structures.
• Experience building or running compliance programs under regulatory conditions, exemptive relief or no‑action positions.
• Familiarity with how blockchain‑based trading works, including self‑custodied wallets, smart contracts, liquidity pools and on‑chain screening.
• Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
• Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.

Nice to Haves

• Experience with tokenized securities, transfer agents or digital asset broker‑dealers. Exposure to OFAC sanctions programs and blocked property handling for on‑chain assets. Experience reporting to a board or joint venture governance body. A JD or a similar legal background.

Perks & Benefits

• Competitive total compensation package Various team building programs and company events Wellness and meal allowances Comprehensive healthcare schemes for employees and dependants More that we love to tell you along the process!

OKX Statement

OKX is committed to equal employment opportunities regardless of race, color, genetic information, creed, religion, sex, sexual orientation, gender identity, lawful alien status, national origin, age, marital status, and non‑job related physical or mental disability, or protected veteran status. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Information collected and processed as part of the recruitment process of any job application you choose to submit is subject toOKX’s Candidate Privacy Notice .