[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 DescriptionAs 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 bodiesKey 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 risksQualifications• 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 culturePreferred 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 systemsBenefits• 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