Legal Jobs at Genesis Global Trading, Inc.

About This Role - Regulatory Compliance VP

We are currently seeking a motivated and enthusiastic Compliance VP who will report to the Compliance Chief of Staff. The Regulatory Compliance VP will support our existing workflow as it relates to, regulatory affairs and regulatory related tasks across the Genesis entities.

Primary Responsibilities

• FINRA Central Compliance – Perform tasks to ensure firm compliance with its FINRA requirements and internal policies and procedures
• Serve as the contact for regulatory enquiries
• Update compliance policies and procedures as necessary
• Work closely with sales and marketing teams to ensure regulatory requirements are understood and adhered to.
• Provide approval for sales and marketing material ensuring compliance with regulatory requirements
• Develop strong working relationships with Audit, Legal and other relevant business lines
• Work with Compliance staff in Singapore and London to ensure compatibility and cohesion with firmwide policies and procedures
• Proactively identify potential obstacles and resolve efficiently and effectively
• Manage the employee personal trading certification process by processing personal trading requests, updating policies as necessary, maintaining the certification database, ensuring timely submission, and escalating delinquencies to the CCO
• Manage the Disclosure of Personal Accounts/Accounts at other Broker-Dealers process by ensuring timely and complete disclosure by all employees, contractors, and consultants
• Process new submissions, updates, and changes to employees’ FINRA Form U-4. Draft and transmit U5 letters for offboarded employees
• Perform compliance monitoring and surveillance activities

Requirements

• Bachelor’s degree in Law/Accounting/Finance or related discipline. Advanced degree preferred
• 5+ years of experience in Compliance, preferably in a FINRA member firm or SEC regulated organization
• Quick learner who can adapt well to a fluid regulatory and business environment.
• Excellent written and oral communication skills including conflict management skills, and experience interacting with business side and senior management
• FINRA Series 7 & 24 preferred
• Crypto experience preferred