Amun 21Shares is hiring a

Web3 VP, Compliance

As VP of Compliance, you will play a critical role in the success of our business. You will report to the COO with a secondary reporting line directly to the boards of directors of the different group entities. Your responsibilities will include but are not limited to:

• Overall responsibility for the design, implementation and effectiveness of compliance programs within the United States and management of the same across other jurisdictions.
• Ensuring the ongoing creation and ongoing review of policies and procedures and compliance to ensure compliance with the Investment Company Act, Advisors Act and applicable SEC, CFTC and FINRA regulations
• Advising on AML/KYC requirements within the United States and internationally
• Appropriately and proactively identifying, evaluating, investigating and resolving compliance & risk issues/concerns
• Ongoing compliance testing
• Responsible for all regulatory compliance correspondence
• Conducting or ensuring provision of compliance education and training of all staff Perform all firm regulatory filings and work with appropriate teams to obtain the data needed
• Working with and monitoring any external parties in respect of any outsourced compliance functions
• Responsible for employee form filings and licenses: (Series licensing and Form U4s)
• Participate in certain company Committees as required (e.g., risk committee)
• Performing electronic communications reviews
• Acting as the BSA/AML and Privacy Officer
• Working with teams and advisers in other jurisdictions to apply local compliance & risk standards in a consistent and aligned manner
• Providing timely and high-quality compliance and risk advice to the business and functions, and ensuring business needs are being met
• Being a point of contact for and having a transparent relationship and mutual understanding with the relevant regulators and monitoring authorities
• Helping local/regional/global staff by answering risk & compliance related questions and responding to requests
• Identifying and assessing compliance risks through an active monitoring and testing program
• Creating a positive and engaging compliance spirit and risk awareness within the business
• Supporting the business by advising on new product & services development
• Involved in new projects and new activities in order to timely assess and address the (compliance) risks associated with the project and activity

We are looking for candidates who:

• 5-7 years' experience in asset management compliance, consultancy or internal audit involving some or all of the following: risk identification, controls development, control monitoring, training, and oversight of activities
• Experience working within the SEC, FINRA and CFTC regulated entities and investment companies
• Worked within global businesses or have a good working understanding of compliance regimes particularly within Europe
• Experience or a keen interest in digital assets and the regulatory environment for digital assets is a plus
• Excellent knowledge of the Investment Company Act of 1940, the Investment Advisor Act of 1940 (along with related rules), and regulatory standards/best practices for U.S Registered Investment Advisors required; experience with FINRA regulations highly desired
• Excellent interpersonal, presentation, written and oral communication skills including writing board materials and presenting at board meetings
• Ability to identify regulatory issues and work independently to develop solutions
• Ability to liaise with all levels of management
• Strong attention to detail and analytical skills

Apply Now: