CHIEF COMPLIANCE OFFICER - BROKER DEALER

Wintermute is a technology unicorn and one of the leading global players in the digital asset markets. Wintermute is the largest crypto-native algorithmic trading company providing liquidity across all major exchanges and trading platforms. Our OTC desk offers a wide range of spot and derivatives products and supports over 2,000 counterparties across crypto natives and traditional financial institutions. We actively participate in the development of the blockchain ecosystem by being one of the largest players in DeFi as well as our investments arm, partnerships and incubations.

Wintermute was founded in 2017 by trading industry leaders and has successfully navigated multiple crypto industry cycles. Culturally, we combine the best of the two worlds : the technology standards of high-frequency trading firms in traditional markets and the innovative and entrepreneurial culture of technology startups. Read more here.

Nature of the role :

We are looking for a Chief Compliance Officer (CCO) who will assume primary responsibility for ensuring broker-dealer compliance with SEC, FINRA and applicable state rules / regulations. The primary responsibility would be to design, implement and maintain the broker-dealer compliance program, develop and work in tandem with the Wintermutes global compliance team to ensure compliance with relevant regulatory requirements.

The successful candidate will develop Wintermutes global regulatory position in relation to the US financial markets regulations, and as a bonus, lead its discussions on digital assets policy with leading crypto associations as well as federal and state regulators, analyse, collaborate with policy colleagues to comment on proposed bills in the US as they are promulgated.

Key Responsibilities :

• Lead and advise the business on issues relating to US financial markets regulations, including securities law issues, as well as develop and implement solutions aligned with Wintermutes business objectives and its global regulatory and compliance strategy.
• Establish and implement standards, policies and procedures for the broker-dealer compliance program.
• Manage the firms FINRA Gateway filings, complete periodic regulatory reporting submissions, and coordinate broker-dealer audits and inspections.
• Oversee trade related compliance activities, including the reporting for equity securities.
• Coordinate responses to inquiries from regulatory authorities.
• Manage all aspects of the US firms AML compliance program. Collaborate with other control functions such as compliance, risk, operations to address any regulatory issues which may impact the function, business or product.
• Assist with development, maintenance and delivery of compliance related materials, including policies and procedures, manuals and training materials against regulatory requirements and best practices.
• Review and approve marketing materials, ensuring it complies with applicable financial promotion rules.
• Support compliance and regulatory projects, including authorisations, transaction monitoring and surveillance. Investigating and analyzing automated transaction monitoring alerts.
• Involvement in regulatory horizon scanning, including interpreting the regulation, scoping and analysis, and implementing new regulation changes.
• Reviewing new publications from regulators and communicating their impact to stakeholders.
• Coordinate and lead Wintermutes response to regulatory inquiries, examinations or investigations emanating from the US as well as other cross-border regulatory matters as may be required.
• Develop regulatory and operational strategy for new products in multiple jurisdictions in coordination with the business and product teams.
• Ideally, lead on Wintermutes digital assets policy with leading crypto associations, federal and state regulators, and analyse, consider and comment on proposed bills as they are promulgated.

Hard Skills Requirements :

Other Requirements

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