Own compliance for OKXICE’s tokenized securities venue, including SEC exemption conditions, regulatory records, public and issuer notices, trading limits, market-data monitoring, halts, SEC notifications, participant onboarding, KYC/KYB, sanctions screening, wallet monitoring, and access credentials. Report to the joint venture board and Americas Compliance leadership while managing a compliance analyst. Build and operate compliance programs for a novel blockchain-based trading venue.
Who We Are
At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me, Do the Right Thing, and Get Things Done. These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er.
About the Opportunity
The Americas Compliance team is hiring a Senior Compliance Manager to own compliance for OKXICE TSV and for the joint venture's new broker-dealer. OKXICE TSV is the tokenized securities venue run by the OKX and Intercontinental Exchange joint venture under the SEC's Innovation Exemption, and it lets eligible US users trade tokenized US-listed stocks on-chain. The joint venture is also registering a broker-dealer with FINRA. You'll be the main person accountable for meeting the exemption's ongoing conditions and for taking the broker-dealer through FINRA membership and into operation. You'll work closely with Legal, Finance, Product, Web3 Risk Control and our AML, Sanctions and Surveillance teams, as well as outside counsel and the broker-dealer's clearing firm. These are new businesses, so you'll help build the programs as well as run them.
What You'll Be Doing
- Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination.
- Manage the venue's public notice: review revisions, control versions, and make sure the notice matches how the product actually works. This includes corrections and material-change filings within the required deadlines.
- Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date.
- Track and monitor TSV limits on an ongoing basis, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins. Escalate breaches, significant operational events and required SEC notifications.
- Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening, keeping wallet-to-participant records current, and issuing and revoking the soulbound token (SBT) credential that grants access.
- Lead the broker-dealer through the FINRA new membership application, including Form BD, the business plan and supporting exhibits, responses to FINRA staff requests, and the membership interview.
- Coordinate the evidence FINRA needs before approval, such as the officer and director structure, authorized signatories on the broker-dealer's bank accounts, bank statements, the independent auditor engagement, the clearing agreement, and flow-of-funds and demo materials.
- Build the broker-dealer's compliance program, including written supervisory procedures, the supervisory control system, an AML program under FINRA Rule 3310 with customer identification procedures, and books and records under SEC Rules 17a-3 and 17a-4.
- Once the broker-dealer is approved, run its ongoing compliance, including the annual certification under FINRA Rule 3130, supervisory control testing under Rule 3120, regulatory filings, and FINRA examinations and inquiries. Work with the Financial and Operations Principal on net capital and FOCUS reporting.
What We Look For In You
- 8+ years of compliance experience at a FINRA-registered broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC- and FINRA-regulated activity.
- FINRA Series 24 (General Securities Principal) registration, or the ability to qualify within an agreed period after joining.
- Hands-on experience with a FINRA new membership or continuing membership application, including preparing the application and handling FINRA staff questions through to approval.
- Working knowledge of the federal securities laws and FINRA rules that apply to broker-dealers and trading venues, such as Regulation ATS, Regulation NMS, the net capital and customer protection rules, and market manipulation rules, plus the ability to apply them to new market structures.
- Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions.
- Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening.
- Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
- Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.
Nice to Haves
Perks & Benefits
- Experience with tokenized securities, transfer agents or digital asset broker-dealers.
- Exposure to OFAC sanctions programs and blocked property handling for on-chain assets.
- Experience reporting to a board or joint venture governance body.
- Series 14 (Compliance Official) registration.
- Experience working with a clearing firm under a fully disclosed clearing arrangement.
- A JD or a similar legal background.
- Competitive total compensation package
- Various team building programs and company events
- Wellness and meal allowances
- Comprehensive healthcare schemes for employees and dependants
- More that we love to tell you along the process!
OKX Statement:
OKX is committed to equal employment opportunities regardless of race, color, genetic information, creed, religion, sex, sexual orientation, gender identity, lawful alien status, national origin, age, marital status, and non-job related physical or mental disability, or protected veteran status. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
Notice:
All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website.
Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
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