Senior Compliance Manager, Tokenized Securities Venue (Americas)

5 дн. назад

СШАSeniorRemote

amlsanctionscompliance

Responsible for owning and managing the compliance program for a tokenized securities venue under SEC exemption conditions.

Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination.
Manage the venue's public notice: review revisions, control versions, and make sure the notice matches how the product actually works. This includes corrections and material-change filings within the required deadlines.
Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date.
Track and monitor TSV limits on an ongoing basis, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins. Escalate breaches, significant operational events and required SEC notifications.
Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening, keeping wallet-to-participant records current, and issuing and revoking the soulbound token (SBT) credential that grants access.
Report to the OKXICE LLC Board of Managers and to Americas Compliance leadership, and manage and develop a TSV Compliance Analyst.

8+ years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC-regulated activity.
Working knowledge of the federal securities laws that apply to trading venues, such as Regulation ATS, Regulation NMS and market manipulation rules, plus the ability to apply them to new market structures.
Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions.
Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening.
Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.

Experience with tokenized securities, transfer agents or digital asset broker-dealers.
Exposure to OFAC sanctions programs and blocked property handling for on-chain assets.
Experience reporting to a board or joint venture governance body.
A JD or a similar legal background.

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