Senior Compliance Manager, Tokenized Securities Venue (Americas)

OKX; United States; Remote; USD 180,000 - 240,000; Full time

Benefits offered by this job

Competitive total compensation package

Various team building programs and公司活动

Wellness and meal allowances

Comprehensive healthcare schemes for员工

Job summary

OKX in the Americas is seeking a Senior Compliance Manager to own the compliance program for the SEC exemption of OKXICE TSV, a tokenized securities platform run by OKX and ICE joint venture. You will partner with Legal, Product, Web3 Risk Control and AML teams.

You will help build the program from the ground up, monitor ongoing conditions, supervise onboarding and filing obligations, and report to the OKXICE LLC Board of Managers and Americas Compliance leadership.

Qualifications

• 8+ years of compliance experience at a broker-dealer, exchange, ATS or digital asset firm.
• Knowledge of federal securities laws applicable to trading venues (Regulation ATS/NMS).
• Experience building or running compliance programs under regulatory conditions or exemptive relief.
• Familiarity with blockchain-based trading, self-custodied wallets and on-chain screening.
• Strong drafting skills to translate technical/legal detail into public disclosures and procedures.
• Ability to collaborate with Product, Engineering and Legal across time zones.

Responsibilities

• 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: revisions, versions, and filings within deadlines; ensure notices align with product functionality.
• Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming stock listing dates.
• Track and monitor TSV limits on an ongoing basis, including per-stock and volume limits against market data; escalate breaches and SEC notifications.
• Oversee onboarding and ongoing wallet maintenance, including KYC/KYB, sanctions screening, on-chain wallet rescreening, and SBT credential management.
• Report to the OKXICE LLC Board of Managers and Americas Compliance leadership, and supervise a TSV Compliance Analyst.

Skills

Regulatory compliance

Cross-functional collaboration

Legal drafting

Blockchain familiarity

Job description

ace-line old-record-id- Who We Are

ace-line old-record-id-doxusxfrenHjJKtgnorBrzgGFPb 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.

ace-line old-record-id- About the Opportunity

ace-line old-record-id- 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.

ace-line old-record-id- What You’ll Be Doing

• ace-line old-record-id- Own the compliance program for the venue s SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination.
• ace-line old-record-id- 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.
• ace-line old-record-id- Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock s listing date.
• ace-line old-record-id- 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.
• ace-line old-record-id- 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.
• ace-line old-record-id- Report to the OKXICE LLC Board of Managers and to Americas Compliance leadership, and manage and develop a TSV Compliance Analyst.

ace-line old-record-id- What We Look For In You

• ace-line old-record-id- 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.
• ace-line old-record-id- 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.
• ace-line old-record-id- Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions.
• ace-line old-record-id- Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening.
• ace-line old-record-id- Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
• ace-line old-record-id- Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.

ace-line old-record-id- Nice to Haves

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

ace-line old-record-id- Perks and Benefits

• ace-line old-record-id- Competitive total compensation package
• ace-line old-record-id- Various team building programs and company events
• ace-line old-record-id- Wellness and meal allowances
• ace-line old-record-id- Comprehensive healthcare schemes for employees and dependants

ace-line old-record-id- More that we love to tell you along the process!

ace-line old-record-id- OKX Statement:

ace-line old-record-id- 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.

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