Senior Director, Product Advisory Compliance – Blockchain News, Opinion, TV and Jobs

New York, NY, USA
Coinbase
Location: New York, NY Coinbase has built the world’s leading compliant cryptocurrency platform serving over 30 million accounts in more than 100 countries. With multiple successful products, and our vocal advocacy for blockchain technology, we have played a major part in mainstream awareness and adoption of cryptocurrency. We are proud to offer an entire suite of products that are helping build the cryptoeconomy, and increase economic freedom around the world. There are a few things we look for across all hires we make at Coinbase, regardless of role or team. First, we assess whether a candidate demonstrates our values: Clear Communication, Positive Energy, Efficient Execution, and Continuous Learning. Second, we look for signals that a candidate will thrive in a culture like ours, where we default to trust, embrace feedback, disrupt ourselves, and expect sustained high performance because we play as a championship team. Finally, we seek people with the desire and capacity to build and share expertise in the frontier technologies of crypto and blockchain, in whatever way is most relevant to their role. Read more about our values and culture here. This role is for the Senior Director of Product Advisory Compliance. The role is based in NY and is one of three direct reports to the CCO. Product Advisory Compliance’s mission is to be aligned with each line of Coinbase’s business/products and serve as their primary point of contact to ensure a robust working relationship and to provide advice on l regulatory matters and controls. The Senior Director of Product Advisory Compliance will be responsible for: Platform (Cross-Segment) Institutional Retail Custody/Credit Coverage/OTC Broker-Dealer This role will also have oversight responsibility for a number of Compliance and surveillance functions including: Market Health/Digital Asset Launches Trade Surveillance Employee Control Room What you’ll be doing (ie. job duties):
Manage a team of Compliance leads that advise on new products, regulatory rule changes, policies & procedures , surveillance and controls for the above business and product segments Design and implement compliance programs for the Products regulated by the New York Department of Financial Services, SEC/FINRA, CFTC, and various state regulators. Collaborate cross-functionally with the other Sr. Compliance and Legal roles Work cross-functionally to implement control infrastructure to support the rollout of new products. Lead Compliance’s work in support of new charter/license applications (domestically) Ensure risk mitigation and continued growth are aligned with the organization’s goal
What we look for in you (ie. job requirements):
Ability to interface with Regulators Work in a cross functional and matrixed environment Understanding of traditional finance and the Institutional marketplace including trading, custody, exchange practices, market integrity, customer protection, Control Room, Personal Account Dealing, and Broker Dealer operations Experience advising Product and Engineering teams to consider and operationalize compliance programs Basic understanding and passion for the virtual currency market 15-20 years regulatory/compliance experience Previous experience as a CCO a plus 15+ years experience managing a team Thorough understanding of FINRA/SEC/CFTC/DFS regulations Experience as a Compliance Officer at a FINRA BD Excellent interpersonal, writing, communication and organizational skills with the ability to work autonomously as well as collaboratively within a team environment. Excellent decision making, analytic and investigative abilities with attention to detail and accuracy. Ability to interact effectively with all levels of management, regulators and examiners
Nice to haves:
Working knowledge of blockchain technology and crypto market FINRA Licenses Experience either working inside a financial regulatory agency or managing regulatory compliance programs for a regulated financial institution Management experience in a matrixed environmentNew York, NY, USA
Coinbase
Location: New York, NY
Coinbase has built the world’s leading compliant cryptocurrency platform serving over 30 million accounts in more than 100 countries. With multiple successful products, and our vocal advocacy for blockchain technology, we have played a major part in mainstream awareness and adoption of cryptocurrency. We are proud to offer an entire suite of products that are helping build the cryptoeconomy, and increase economic freedom around the world.

There are a few things we look for across all hires we make at Coinbase, regardless of role or team. First, we assess whether a candidate demonstrates our values: Clear Communication, Positive Energy, Efficient Execution, and Continuous Learning. Second, we look for signals that a candidate will thrive in a culture like ours, where we default to trust, embrace feedback, disrupt ourselves, and expect sustained high performance because we play as a championship team. Finally, we seek people with the desire and capacity to build and share expertise in the frontier technologies of crypto and blockchain, in whatever way is most relevant to their role.

Read more about our values and culture here.

This role is for the Senior Director of Product Advisory Compliance. The role is based in NY and is one of three direct reports to the CCO. Product Advisory Compliance’s mission is to be aligned with each line of Coinbase’s business/products and serve as their primary point of contact to ensure a robust working relationship and to provide advice on l regulatory matters and controls. The Senior Director of Product Advisory Compliance will be responsible for:
Platform (Cross-Segment) Institutional Retail Custody/Credit Coverage/OTC Broker-Dealer
This role will also have oversight responsibility for a number of Compliance and surveillance functions including:
Market Health/Digital Asset Launches Trade Surveillance Employee Control Room
What you’ll be doing (ie. job duties):

  • Manage a team of Compliance leads that advise on new products, regulatory rule changes, policies & procedures , surveillance and controls for the above business and product segments
  • Design and implement compliance programs for the Products regulated by the New York Department of Financial Services, SEC/FINRA, CFTC, and various state regulators.
  • Collaborate cross-functionally with the other Sr. Compliance and Legal roles
  • Work cross-functionally to implement control infrastructure to support the rollout of new products.
  • Lead Compliance’s work in support of new charter/license applications (domestically)
  • Ensure risk mitigation and continued growth are aligned with the organization’s goal

What we look for in you (ie. job requirements):

  • Ability to interface with Regulators
  • Work in a cross functional and matrixed environment
  • Understanding of traditional finance and the Institutional marketplace including trading, custody, exchange practices, market integrity, customer protection, Control Room, Personal Account Dealing, and Broker Dealer operations
  • Experience advising Product and Engineering teams to consider and operationalize compliance programs
  • Basic understanding and passion for the virtual currency market
  • 15-20 years regulatory/compliance experience
  • Previous experience as a CCO a plus
  • 15+ years experience managing a team
  • Thorough understanding of FINRA/SEC/CFTC/DFS regulations
  • Experience as a Compliance Officer at a FINRA BD
  • Excellent interpersonal, writing, communication and organizational skills with the ability to work autonomously as well as collaboratively within a team environment.
  • Excellent decision making, analytic and investigative abilities with attention to detail and accuracy.
  • Ability to interact effectively with all levels of management, regulators and examiners

Nice to haves:

  • Working knowledge of blockchain technology and crypto market
  • FINRA Licenses
  • Experience either working inside a financial regulatory agency or managing regulatory compliance programs for a regulated financial institution
  • Management experience in a matrixed environment

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