💼 About This Role

You'll lead compliance programs for a broker-dealer and FCM at Gemini, a global crypto platform. Your work will ensure regulatory excellence across SEC, FINRA, CFTC, and NFA frameworks.

🎯 What You'll Do

• Provide compliance advisory and oversee broker-dealer compliance program
• Oversee FCM compliance, risk management, and annual CCO report
• Supervise trade and market surveillance across securities and derivatives
• Serve as primary contact for FINRA, NFA, SEC, and CFTC exams

📋 Requirements

• BA/BS degree
• Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days)
• 10+ years of securities and/or commodities regulatory compliance experience
• Deep expertise in broker-dealer and/or FCM operations and regulatory frameworks

✨ Nice to Have

• Advanced degree/certifications (JD, MBA)
• Familiarity with virtual currencies, digital transfer platforms, ATS
• Experience with surveillance and supervision at multi-registrant firm

🎁 Benefits & Perks

• 💰 Competitive starting pay
• 🏥 Comprehensive health plans
• 🏦 401K with company matching
• 👶 Paid Parental Leave
• 🌴 Flexible time off

📨 Hiring Process

Estimated timeline: 2-4 weeks · AI estimate

1. 1Recruiter screen· 30 min
2. 2Hiring manager interview· 1 hour
3. 3Panel interview· 1 hour