Chief Compliance / AML Officer - Crypto in Fort Lauderdale, FL at TradeStation

Date Posted: 7/18/2018

Job Snapshot

Job Description

Chief Compliance / AML Officer
Plantation, FL
 
Directly reporting to the President of TradeStation Crypto, Inc. (TCI), the Chief Compliance/AML Officer of TCI will have the following responsibilities:
 
ESSENTIAL JOB FUNCTIONS:
  • Design and enhance compliance program for recently-formed subsidiary of TradeStation Group, Inc. seeking to obtain appropriate licenses and registrations federally (FinCEN), and with up to all 50 states, to conduct a cryptocurrency buy, sell and trading business in accordance with all applicable money transmitter and related cryptocurrency laws (e.g., NY BitLicense), rules and regulations
  • Lead money transmitter/crypto-license application process and, once licenses are obtained, oversee and act as primary contact for all money-transmitter/crypto-license management, including required reporting, regulatory exams and renewals, as well as customer complaint/grievance processes
  • Also act as Chief AML Officer (Bank Secrecy Act, USA Patriot Act and AML and anti-terrorism generally)
  • Play primary role in shaping and overseeing fraud/manipulation policies and procedures, and rules or requirements relating to communications to customers and the public
  • Interface with unaffiliated and affiliated critical vendors regarding regulatory compliance issues which involve services being provided
  • Work closely with parent company legal, compliance, risk management and internal audit executives to enhance synthesized plans and approaches for design and execution of legal, compliance, enterprise risk and internal controls plans, policies and decisions
  • Educate/train company employees on compliance culture and regulatory environment and requirements relating to cryptocurrency business to support strong compliance culture from “the top down”
  • Participate in initial and ongoing meetings, to weigh-in from a compliance perspective, on the planning of company product and service initiatives
  • Stay abreast of ‘best practices’ in comparable firms and the industry, generally

KNOWLEDGE, SKILLS & ABILITIES:
  • Knowledge and experience in cryptocurrency industry and businesses a big plus
  • Excellence in organizational management and strong attention to detail
  • Strong problem-solving, verbal and written communication, planning, organizational and presentation skills


EDUCATION & EXPERIENCE:
  • BA/BS required; JD or other relevant post-graduate degree is a plus
  • Minimum of ten years of experience in regulatory compliance or legal in the financial services industry
  • Minimum of three years of experience in both (1) BSA/AML/OFAC compliance and (2) money services/money transmitter (or bank or other financial institution equivalent) compliance
  • Certified Anti-Money Laundering Specialist (CAMS) and/or Certified AML and Fraud Professional (CAFP)