[Hiring] Chief Compliance Officer @Plume Network

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description As the Chief Compliance Officer for Plume’s broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a universe of onchain RWAs. You will provide essential support in obtaining both the broker-dealer and transfer agent licenses, designing and implementing comprehensive compliance programs, and ensuring ongoing compliance with FINRA, SEC, and other applicable regulations. • Lead Plume’s broker-dealer and transfer agent compliance programs • Ensure adherence to all applicable securities laws, regulations, and internal policies • Oversee compliance for broker-dealer activities and transfer agent functions • Foster a culture of compliance and serve as the primary liaison with regulatory bodies Key Responsibilities • Develop, implement, and maintain comprehensive compliance policies, procedures, and controls • Assist in drafting and negotiating materials in connection with Form BD submission • Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities • Conduct regular internal audits, risk assessments, and testing • Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program • Ensure compliance with transfer agent-specific regulations • Provide compliance training and guidance to employees • Manage regulatory examinations, inquiries, and filings • Collaborate with senior management to integrate compliance considerations into business strategies • Investigate and resolve compliance-related incidents • Maintain accurate records of compliance activities and prepare reports for the Board of Directors • Stay abreast of industry best practices and emerging risks Qualifications • Bachelor's degree in Finance, Business, Law, or a related field; advanced degree or relevant certifications preferred • Minimum of 5 years of experience in compliance roles within the financial services industry • Active FINRA Series 7 and Series 24 licenses required; Series 63 or equivalent state registrations preferred • Solid understanding of SEC and FINRA rules • Proven ability to manage compliance programs and handle regulatory interactions • Strong analytical, problem-solving, and communication skills • Proficiency in compliance software and tools • High ethical standards and a commitment to fostering a compliant organizational culture Preferred Experience • 7+ years in compliance, including supervisory or leadership roles • Additional FINRA licenses such as Series 4 or Series 14 are a plus • Demonstrated experience with digital asset regulations and compliance challenges • Experience with risk management frameworks and data analytics for compliance monitoring • Familiarity with SEC transfer agent regulations and systems Benefits • Competitive salary and benefits package, including health insurance and retirement plans • Opportunities for professional development, including reimbursement for license maintenance • A collaborative work environment with flexibility for remote/hybrid arrangements • The chance to make a significant impact in a growing firm while advancing your career Apply tot his job Apply To this Job