Best suited to mid-level compliance professionals with deep expertise in securities and commodities regulation, working in a hybrid New York office setting.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Gemini via Greenhouse
About the Company
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.
The Department: Compliance
The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.
The Role: Head of Compliance, Gemini Galactic Markets, LLC
Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has
strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer.
This role is required to be in person twice a week at our New York City, NY office.
Responsibilities:
Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
Supervise trade and market surveillance across the firm's securities and derivatives products
Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
Maintain the firm's AML program covering both broker-dealer and FCM activities
Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
Review and approve advertising, marketing, and sales materials
Minimum Qualifications:
BA/BS degree
Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
10+ years of securities and/or commodities regulatory compliance experience
Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
Comfort working in a technology-forward environment
Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
Authorization to work in the United States and fluency in English
Preferred Qualifications:
Advanced degree/certifications, e.g. JD, MBA
Familiarity with virtual currencies, digital transfer platforms, ATS
Strong cross-functional collaboration skills
Interest in building the future of compliance and an owner’s mindset to your work
Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm
It Pays to Work Here
The compensation & benefits package for this role includes:
Competitive starting pay
A discretionary annual bonus
Long-term incentive in the form of a new hire equity grant
Comprehensive health plans
401K with company matching
Paid Parental Leave
Flexible time off
Salary Range: The base salary range for this role is between $150,500 - $279,500 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data.
In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.
At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know.
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Source: Gemini careers (Greenhouse)