Compliance Senior Associate

About the company

About the Role

Responsibilities

• Assist with the Firm's e-communication archiving reviews to monitor and ensure adherence to firm policies.
• Provide input on and help complete Due Diligence Questionnaires (DDQs) and Requests for Proposals (RFPs).
• Complete weekly, monthly, and quarterly compliance checklists in a timely and accurate manner.
• Help maintain and update the Firm's compliance manual to reflect current policies and regulatory requirements.
• Assist in the preparation of risk assessments, annual reviews, and vendor reviews.
• Support the Firm's responses and documentation requests related to regulatory inquiries, third-party examinations, and internal audits.
• Help maintain governance around relevant committees, including scheduling, preparing materials, and documenting meeting notes.

Requirements

• 5+ years of experience in KYC, AML, or compliance operations within financial services or fintech.
• Deep knowledge of AML/BSA regulatory requirements, risk-based customer due diligence, and OFAC sanctions compliance.
• Strong ability to analyze situations for compliance and business risk, and to implement effective solutions to address and mitigate such risk.
• Excellent organizational skills with strong attention to detail and the ability to manage multiple deadlines simultaneously.
• Strong written and verbal communication skills, with the ability to work cross-functionally and interact with regulators, auditors, and internal stakeholders.
• Preferred: 2+ years of prior financial services compliance experience within a Broker-Dealer (B/D) or Registered Investment Adviser (RIA).

What we offer

• Competitive compensation including but not limited to salary, future token rights, and/or equity (according to your preferences) — We are well-funded and believe that great talent deserves great compensation.
• Full benefits (medical, vision, and dental) and flexible vacation policy (PTO).
• Remote-first team across many countries — You will be an early team member helping shape our vision, culture, and design practices.
• A+ colleagues — Our team includes alumni from: Goldman Sachs, Blackrock, Two Sigma, Bridgewater, SpaceX, AWS, Meta, Google, McKinsey, Circle, Uniswap.
• Best-in-class investors — We are proud to be backed by leading crypto experts and VCs, including Pantera Capital, Founders Fund and Coinbase Ventures.