Senior Compliance Manager, Tokenized Securities Venue (Americas)

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Compliance Manager, Tokenized Securities Venue (Americas) based in the United States.

We are seeking an experienced Senior Compliance Manager to lead and oversee regulatory compliance for an innovative tokenized securities trading platform operating under an SEC Innovation Exemption. In this strategic role, you will take ownership of the compliance framework, ensuring ongoing adherence to regulatory conditions and operational requirements. You will work closely with Legal, Product, Engineering, AML, Sanctions, and Risk Control teams to build and maintain robust compliance processes. Your responsibilities will span regulatory oversight, participant onboarding, transaction monitoring, public disclosures, and securities listing procedures. As part of a newly established business initiative, you will have the opportunity to shape compliance standards for an emerging digital asset market structure. This position combines regulatory expertise, blockchain knowledge, and cross-functional leadership in a dynamic, international environment.

Accountabilities

Own and manage the overall compliance program for the tokenized securities venue, ensuring all conditions attached to its SEC exemption are continuously met.
Monitor regulatory obligations, test internal controls, maintain comprehensive documentation, and ensure records are consistently prepared for regulatory examinations.
Oversee public disclosure requirements, including reviewing and updating public notices, managing document versions, and ensuring disclosures accurately reflect the platform's operations.
Coordinate regulatory corrections and material-change filings, ensuring all submissions are completed accurately and within applicable deadlines.
Manage the issuer notification process from beginning to end, including tracking notice delivery, handling objections, and confirming listing dates for individual securities.
Monitor trading venue restrictions and operational limits, including per-security and volume thresholds, using consolidated market data and conducting periodic eligibility reviews.
Oversee trading halts, eligible stablecoin requirements, and other operational controls, escalating breaches, significant incidents, and events requiring regulatory notification.
Supervise participant onboarding and ongoing wallet administration, including KYC/KYB verification, daily sanctions screening, and continuous on-chain wallet monitoring.
Maintain accurate records linking participant identities to their associated wallets and manage the issuance and revocation of soulbound token (SBT) credentials granting platform access.
Collaborate with Legal, Product, Engineering, Web3 Risk Control, AML, Sanctions, and Surveillance teams to ensure effective implementation of compliance requirements.
Provide regular compliance updates and reporting to the Board of Managers and senior regional compliance leadership.
Lead, supervise, and develop a dedicated Compliance Analyst, establishing clear priorities and promoting strong compliance practices.
Requirements
At least 8 years of professional compliance experience within a broker-dealer, securities exchange, Alternative Trading System (ATS), or digital asset organization.
Direct experience working with SEC-regulated activities and a strong understanding of the regulatory requirements applicable to securities trading venues.
Strong knowledge of US federal securities laws and regulations, including Regulation ATS, Regulation NMS, and market manipulation rules, with the ability to apply established frameworks to emerging market structures.
Proven experience designing, implementing, or managing compliance programs subject to regulatory conditions, exemptive relief, or no-action positions.
Familiarity with blockchain-based trading environments, including self-custodied wallets, smart contracts, liquidity pools, and on-chain transaction screening.
Strong regulatory writing and documentation skills, with the ability to translate complex legal and technical requirements into clear procedures, policies, and public disclosures.
Excellent analytical and problem-solving abilities, combined with sound regulatory judgment and attention to detail.
Strong communication and stakeholder management skills, with demonstrated ability to collaborate effectively with Product, Engineering, Legal, and other cross-functional teams across different time zones.
Ability to operate independently, manage complex regulatory responsibilities, and establish compliance frameworks in a new and evolving business environment.
Nice to have: Previous experience with tokenized securities, transfer agents, or digital asset broker-dealers.
Additional advantage: Knowledge of OFAC sanctions programs and the handling of blocked property involving on-chain assets.
Experience preparing compliance reports for boards, executive committees, or joint venture governance bodies is considered an asset.
A Juris Doctor (JD) degree or equivalent legal education and professional background is an advantage.
Benefits
Competitive compensation: Attractive total compensation package based on experience, expertise, and qualifications.
Healthcare coverage: Comprehensive healthcare benefits for employees and their eligible dependants.
Wellness support: Wellness allowances designed to support employee health and well-being.
Meal allowances: Financial support for meals and everyday convenience.
Team activities: Access to team-building initiatives, social activities, and company-wide events.
International environment: Opportunity to collaborate with global teams and contribute to an innovative, evolving financial technology ecosystem.
Professional development: Exposure to emerging regulatory frameworks, digital assets, and the future of tokenized securities markets.
Additional perks: Further benefits and employee incentives may be shared throughout the recruitment process.