Chief Compliance Officer, US Regulated Entities

Responsibilities

• Maintain and enhance BUSO's compliance program, policies, and procedures in accordance with applicable federal and state law.
• Oversee AML/BSA/OFAC programs, including KYC onboarding, transaction monitoring, and SAR filing obligations.
• Serve as primary compliance liaison with state and federal regulators with jurisdiction over BUSO's digital-asset exchange activities.
• Manage regulatory examinations, inquiries, and enforcement matters relating to BUSO.
• Build and lead the broker-dealer compliance program from the ground up, including development of WSPs, supervisory controls, and FINRA-required procedures.
• Serve as registered Chief Compliance Officer (Series 14 or equivalent) with FINRA.
• Manage FINRA examinations, 8210 requests, and regulatory inquiries.
• Ensure compliance with SEC and FINRA rules applicable to digital-asset securities activities, including Reg BI, AML, and recordkeeping.
• Work closely with legal counsel on broker-dealer licensing, disclosure, and product approval processes.
• Establish and administer a CFTC- and NFA-compliant compliance program, including written supervisory procedures (WSPs), training, and annual review obligations.
• Oversee NFA registration requirements, including associated persons (APs) registration and branch office supervision.
• Supervise the application of surveillance and monitoring of trading and order activity as per the FCMs’ provisions.
• Serve as NFA Compliance Liaison and DSRO contact; manage NFA audits and routine examinations.
• Monitor evolving CFTC rulemaking (including digital-asset derivatives guidance) and update FCM compliance framework accordingly.
• Oversee customer fund segregation compliance and FCM financial condition reporting.
• Report directly to the Global Head of Compliance; provide regular compliance reporting to senior management and the Board.
• Build, manage, and mentor a high-performing US compliance team.
• Develop and deliver compliance training programs tailored to US regulated business lines.
• Collaborate with global compliance leads, legal, technology, and business teams to ensure a coordinated enterprise-wide compliance posture.
• Lead market surveillance oversight for US regulated venues.
• Identify and manage regulatory risk arising from new products, markets, and business initiatives.

Qualifications

• 12+ years of progressive compliance experience in US financial services, with meaningful responsibility in a senior or CCO-level role.
• Deep knowledge of SEC and FINRA rules applicable to broker-dealers, including supervisory obligations, AML requirements, and registration/licensing frameworks.
• Working knowledge of CFTC and NFA requirements applicable to FCMs, including NFA registration rules, customer protection requirements, and CFTC regulations.
• Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN.
• Strong understanding of AML/BSA obligations and FinCEN regulatory requirements.
• Demonstrated ability to build and lead compliance teams and programs from the ground up.
• Excellent written and verbal communication skills; ability to engage credibly with regulators, senior management, and the Board.
• J.D. or bachelor's degree in law, finance, business, or a related field.
• Eligibility and willingness to obtain FINRA Series 7, 14 and 24 licenses and NFA Series 3 or other relevant NFA registration.
• Prior experience at or with a Broker-Dealer, FCM or similar institution.
• Active NFA Series 3 and/or FINRA Series 7, 14, 24 licenses.
• Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or FINRA.
• Familiarity with CFTC-regulated digital-asset derivatives guidance and the evolving US crypto regulatory landscape.