Senior Compliance Manager, Tokenized Securities Venue (Americas)
Core
Lead regulatory compliance for an innovative tokenized securities trading platform operating under an SEC Innovation Exemption, ensuring adherence to regulatory conditions and operational requirements.
Role type
Senior Compliance Manager (Tokenized Securities Venue)
Builds
Robust compliance processes for a digital asset market structure
Domain
US Securities Regulation + Blockchain/Digital Assets
Required skills
US federal securities laws expertise, SEC-regulated activities experience, compliance program design, blockchain trading environment familiarity, regulatory writing, analytical problem-solving
Preferred skills
Tokenized securities experience, transfer agent knowledge, OFAC sanctions program knowledge, board reporting experience, Juris Doctor (JD) degree
Technologies
Smart contracts, self-custodied wallets, on-chain transaction screening, soulbound token (SBT) credentials
Responsibilities
Own and manage the overall compliance program for the tokenized securities venue; Monitor regulatory obligations and maintain comprehensive documentation; Oversee public disclosure requirements and document versioning; Coordinate regulatory corrections and material-change filings; Manage the issuer notification process; Monitor trading venue restrictions and operational limits; Oversee trading halts and stablecoin requirements; Supervise participant onboarding, KYC/KYB verification, and wallet administration; Lead and develop a dedicated Compliance Analyst
Seniority
Senior, hands-on IC with leadership responsibilities