💼 About This Role

You'll own the US Broker-Dealer compliance program for Crypto.com's FINRA-licensed entity, ensuring regulatory adherence and managing audits. Your work will directly shape best execution reviews and regulatory filings. This role also supports NH Trust Custody compliance, offering exposure to IRA and crypto custody.

🎯 What You'll Do

• Manage compliance testing, office inspections, and best execution reviews
• Prepare and submit regulatory filings including Forms U4/U5, Form BD, Form BR
• Serve as primary contact during FINRA and SEC audits and exams
• Manage FINRA Rule 4530 Reporting and respond to regulatory inquiries

📋 Requirements

• Broker-Dealer compliance experience with prior FINRA/SEC interaction
• FINRA registration required including fingerprinting
• Series 7 and Series 24 required
• Strong organizational skills with ability to manage broad scope independently

✨ Nice to Have

• Series 4 strongly preferred
• Familiarity with trust custody compliance and IRA regulations is a plus

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter Screen· 30 min
2. 2Technical Interview· 60 min
3. 3Final Round· 60 min