Summary

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:

 Lead, Broker Dealer Compliance

Gemini is seeking a dynamic self-starter to lead our broker-dealer compliance program. This role requires deep expertise in federal and state securities regulation, particularly SEC and FINRA rules. The ideal candidate will have hands-on experience building out a retail brokerage compliance program, strong knowledge of supervisory activities and surveillance operations, as well as familiarity with digital assets.

This role is required to be in person twice a week at our New York City, NY office.

Responsibilities:

1. Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
2. Maintain the broker-dealer’s AML Program
3. Respond to regulatory requests and inquiries as well as serving as a lead in regulatory exams related to the broker-dealer
4. Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
5. Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
6. Provide input on compliance tools and technologies for effective compliance monitoring and oversight of the broker-deal business
7. Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
8. Oversee trade compliance, reporting, and record-keeping requirements 
9. Review and approve advertising, marketing, and sales materials
10. Monitor changes in regulations that may impact the broker-dealer business and advise internal stakeholders on potential impact

Minimum Qualifications:

1. BA/BS degree
2. Active FINRA Series 7, 63, 24 Licenses  
3. 8+ years of securities and regulatory compliance advisory experience
4. Deep expertise in broker-dealer operations and associate regulatory framework
5. Strong understanding of FINRA and SEC Compliance Requirements, specifically Regulation ATS 
6. Comfort in a technology-forward company and facility with computer and web-based applications, including Google GSuite, case management systems, and web-based databases
7. Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
8. Ability to work independently
9. Authorization to work in the United States and fluency in English

Preferred Qualifications:

1. Advanced degree/certifications, e.g. JD, MBA
2. Familiarity with virtual currencies, digital transfer platforms, ATS
3. Comfort with an ever-changing regulatory and business environment
4. Proven ability to proactively, efficiently, and accurately assess risks in a fast-paced environment
5. Track record of creative problem-solving, excellent written and oral communication skills, and creation of strong and trusted cross-functional relationships
6. Interest in building the future of compliance and an owner’s mindset to your work

Skills

• Communications Skills
• Compliance Knowledge
• Legal Consulting
• Team Collaboration