VP, Regulatory Operations - Digital Assets

VanEck; Tampa (FL); Hybrid; USD 200,000 - 250,000; Full time

Job summary

VanEck is seeking a Vice President of Regulatory Operations to bridge regulatory requirements with product development for tokenized financial products. You will lead BD regulatory operations, oversee KYC/AML frameworks, and coordinate cross-functional efforts with legal, finance, and product teams.

The role requires deep knowledge of broker-dealer rules, AML/BSA obligations, and digital asset regulatory developments, with leadership across compliance, operations, and distribution.

Qualifications

• 8+ years of experience in financial services compliance, regulatory operations, or legal roles, with exposure to broker-dealer regulation.
• Experience with FinOps in a registered broker-dealer environment or close support to FinOps principal.
• Strong knowledge of SEC Rules 15c3-1 and 15c3-3 and FINRA supervisory requirements.
• Experience with AML/BSA obligations, KYC program design, and OFAC/sanctions screening.

Responsibilities

• Support day-to-day regulatory compliance and reporting for a new digital asset broker-dealer entity (FINRA, SEC Rules 15c3-1 and 15c3-3).
• Build and manage BD supervisory procedures, books and records, and net capital calculations.
• Develop policies and controls for the BD's limited-purpose scope.
• Serve as internal escalation point for BD compliance questions for tokenization team.
• Track digital asset regulatory changes and translate into practical product guidance.
• Advise on product structures and distribution under current rules.
• Coordinate licensing requirements for new geographies (APAC/EMEA).
• Contribute to memos, board materials, and partner presentations requiring regulatory analysis.
• Build and own the KYC/AML framework for onchain product distribution.
• Design scalable controls for high-volume distribution and blockchain analytics tooling.

Skills

Regulatory compliance

Broker-dealer regulation

AML/KYC design

FinOps knowledge

CAMS

Series 27

Series 24

Series 7 / 63

Series 4 / 53

CFCS

CIPP

Education

Juris Doctor / law degree with securities focus

Tools

Blockchain analytics tooling

Job description

Title: Vice President, Regulatory Operations
Department: Product Management
Location: New York, NY; Tampa, FL

About The Role

VanEck is building the infrastructure to distribute tokenized financial products at scale. Our suite now spans tokenized treasuries, gold, money market funds, and tokenized ETFs, and the regulatory and operational complexity has grown with it. This role sits between what we want to build and the compliance work required to actually launch it.

Core Responsibilities

Broker-Dealer Operations

• Work alongside our FinOps principal on day-to-day regulatory compliance and reporting for VanEck's new digital asset broker-dealer entity (FINRA, SEC Rules 15c3-1 and 15c3-3), with a path to assuming the FinOps principal role.
• Manage the operational buildout of the BD in coordination with legal, finance, and product, covering supervisory procedures, books and records, and net capital calculations.
• Develop and maintain the policies and controls framework specific to the new BD's limited-purpose scope.
• Serve as the internal escalation point for BD-related compliance questions across the tokenization team.

Regulatory Intelligence & Product Development Support

• Track the digital asset regulatory landscape across the SEC, CFTC, FinCEN, FINRA, OCC, and state regulators (NYDFS in particular), and translate what changes into practical product guidance.
• Advise on new product structures and distribution strategies under the current rules, flagging constraints and identifying workable paths forward.
• Work with legal and product teams on licensing requirements for new geographies (MTLs and foreign licenses relevant to APAC and EMEA distribution).
• Contribute to internal memos, board materials, and partner presentations requiring regulatory analysis.

KYC / AML & Mass Distribution Compliance

• Build and own the KYC/AML framework for onchain product distribution, covering investor onboarding through transfer agents, centralized exchange platforms, and fintech distribution partners.
• Design controls that hold up at volume. The goal is mass retail distribution of tokenized products, so the KYC/AML infrastructure cannot become a bottleneck.
• Evaluate and implement blockchain analytics tooling for wallet screening, sanctions compliance, and transaction monitoring.
• Own the Travel Rule compliance process for onchain transfers and work with our transfer agent and custodians on investor identity flows.
• Serve as the primary internal resource on BSA/FinCEN obligations, OFAC/sanctions screening, and foreign investor restrictions relevant to our tokenized product suite.

Cross-Functional Coordination

• Partner with Trading & Operations on settlement and custody processes specific to tokenized securities.
• Coordinate with our transfer agent and onchain data and digital transfer agency providers on investor onboarding, regulatory data flows, and reporting.
• Work alongside the Sales/BD team on CeFi and fintech distribution agreements, specifically on the compliance representations and structuring requirements embedded in partnership contracts.

Required Qualifications

• 8+ years of experience in financial services compliance, regulatory operations, or legal roles, with meaningful exposure to broker-dealer regulation.
• Working knowledge of the FinOps function at a registered broker-dealer, whether through direct experience, close support of a FinOps principal, or managing the function. Series 27 is a plus but not required at hire.
• Strong command of SEC financial responsibility rules (15c3-1, 15c3-3) and FINRA supervisory requirements.
• Hands-on knowledge of AML/BSA obligations, KYC program design, and OFAC/sanctions screening in a financial services context.
• Experience with digital assets, tokenized securities, or crypto-native financial products, whether at a crypto firm, a TradFi institution with a digital assets unit, or a regulator covering digital assets.
• Ability to read regulatory developments and turn them into concrete product and operational guidance, rather than only flagging risk.

Preferred Qualifications

• Prior experience at a crypto exchange or digital asset custodian, a tokenization or onchain infrastructure platform, or a digital asset-focused asset manager.
• Exposure to tokenized fund structures, RWA distribution frameworks, or blockchain-based transfer agency.
• Familiarity with international licensing regimes relevant to digital asset distribution (MiCA, MAS, SFC Hong Kong, FCA).
• JD or law degree with securities/regulatory focus.
• Experience advising on or building products in a limited-purpose broker-dealer structure.

Licenses & Certifications

Must Have

• CAMS (Certified Anti-Money Laundering Specialist) - Baseline credential for AML program ownership at an institution with our distribution ambitions.

Nice to Have

• Series 27 (FinOps Principal) - Not required at hire. The current FinOps principal remains in place; the expectation is that this person qualifies for and assumes the role over time.
• Series 24 (General Securities Principal) - Useful for supervisory authority over the BD's registered activities as the role expands.
• Series 7 / 63 - Useful for a broader understanding of the securities regulatory environment.
• Series 4 / 53 - Relevant if options or municipal securities scope is added later.
• CFCS (Certified Financial Crime Specialist) - Strong complement to CAMS for crypto-specific financial crime frameworks.
• CIPP (Certified Information Privacy Professional) - Relevant for handling investor identity data across onchain and CeFi distribution channels.

Compensation

If this position will be performed in whole or in part in New York City, the base salary range is $200,000 – 250,000. Individual salaries may vary based on different factors including but not limited to, skills, experience, job-related knowledge, and location. Base salary does not include other forms of compensation or benefits offered in connection with this position.

VanEck is committed to treating all applicants and employees fairly and to providing equal opportunity in compliance with applicable federal, state and local laws. VanEck does not and will not discriminate against any employee or applicant for employment on the basis of race, religion, ancestry, color, gender, gender identity, pregnancy, age, physical or mental disability, national origin, marital status, sexual orientation, citizenship status, covered‑veteran or military status, genetic information, and/or any other factor protected by law.