Role overview
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 â 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
What you'll work on
- Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- Maintain the broker-dealerâs 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
What we're looking for
- 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