Lead, Broker Dealer Compliance

About the Company

Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.

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:

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

Minimum Qualifications:

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

Preferred Qualifications:

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

• Competitive starting salary
• A discretionary annual bonus
• Long-term incentive in the form of a new hire equity grant
• Comprehensive health plans
• 401K with company matching
• Paid Parental Leave
• Flexible time off

Salary Range: The base salary range for this role is between $112,000 - $160,000 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data.

In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.

At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know.

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