Compliance Jobs at BlockFi

BlockFi is looking for a Marketing Compliance Sr. Associate to join our growing team!

About Your Team

This team sits within the broader Product Compliance team and focuses on marketing compliance for all of BlockFi’s products as well as manages and tracks escalated client complaints.

All client-facing materials are reviewed for regulatory and legal compliance with applicable federal, state and international laws. You may be asked to assist our broader team which manages BlockFi's licenses and entity requirements as well as regulatory reporting and exams. The ideal candidate will join our team with proven knowledge of marketing compliance within the financial services industry.

Your Mission

This position will report to the Product Compliance Manager and be responsible for reviewing all client-facing materials before publication. This individual will also take on responses related to escalated client complaints and work with our marketing, client success, project management and legal teams on a day to day basis. List of responsibilities included below.

Responsibilities:

• Review marketing communications to ensure compliance with applicable state and federal regulations (e.g., SEC, UDAAP, CPB).
• Create new processes or process improvements as needed, supporting and enforcing compliance guidelines for use by product and marketing teams when developing new offerings.
• Collaborate with teams cross-functionally and provide guidance in the development of marketing communications, including new product development, global marketing campaigns, web design, and social media.
• Test for adherence to applicable Compliance policies and procedures.
• Keep abreast of regulatory developments and their impact on sales and marketing collateral.
• Maintain and update relevant policies and procedures; draft new policies, as needed.
• Provide supplemental/backup assistance to other areas of the Compliance team.
• Deliver guidance and training to Marketing and Client Service teams on UDAAP requirements, elder fraud detection, and complaint handling.

Your Expertise

• Bulleted list of minimum qualifications, & “bonus points for”
• Minimum 4+ years of experience in compliance roles within an investment adviser organization or financial institution.
• Bachelor’s degree, preferably with a concentration in law, business, finance or accounting.
• Understanding of securities laws, rules and regulations including the Securities Act of 1933 and Regulation S
• Experience conducting compliance marketing review on marketing materials
• Can comprehend and effectively communicate technical regulatory requirements to team members across the broader organization, including senior management
• Ability to collaborate cross-functionally to complete time-sensitive projects
• Advanced organizational and analytical abilities
• Excellent written and verbal communication skills
• Ability to work independently and within a team
• Ability to spot issues and problem solve
• Highly motivated and eager to learn
• Experience and/or interest in cryptocurrency is a plus

Your Perks:

• We benefit from the great work our employees do each day. That is why we are committed to providing a variety of awesome benefits to help them live their best lives.
• Competitive salary because we value your experience and expertise
• Unlimited vacation / sick days because everyone deserves time for R&R
• Employer contribution towards health coverage (including vision & dental) because your physical health and well-being is important to us
• Various fringe benefits such as 401k, Parental Leave, FSA/HSA, and Employee Assistance Programs because health coverage is more than just choosing your yearly plan
• Flexible work environment because we are a geographically dispersed team and we believe in balance
• Pet insurance because all of your beloved family members should have coverage too
• Weekly lunch stipend because there is such a thing as a free lunch!
• A close-knit team of enthusiastic, collegial and driven people to work alongside in a highly meritocratic environment because teamwork makes the dreamwork