Gemini · 11 hours ago
Lead, Broker Dealer Compliance
New York, NY
Full-time
Hybrid
Senior Level, Lead/Staff
$112K/yr - $160K/yr
8+ years expGemini is a global crypto and Web3 platform dedicated to providing secure crypto products and services. They are seeking a Lead for their broker-dealer compliance program, requiring expertise in federal and state securities regulation and experience in building compliance programs.
CryptocurrencyFinanceFinancial ServicesFinTechWeb3
Responsibilities
Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
Maintain the broker-dealer’s 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
Qualification
Required
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
Preferred
Advanced degree/certifications, e.g. JD, MBA
Familiarity with virtual currencies, digital transfer platforms, ATS
Comfort with an ever-changing regulatory and business environment
Proven ability to proactively, efficiently, and accurately assess risks in a fast-paced environment
Track record of creative problem-solving, excellent written and oral communication skills, and creation of strong and trusted cross-functional relationships
Interest in building the future of compliance and an owner's mindset to your work
Benefits
Competitive starting salary
A discretionary annual bonus
Long-term incentive in the form of a new hire equity grant
Comprehensive health plans
401K with company matching
Paid Parental Leave
Flexible time off
Company
Gemini
Gemini is a licensed digital asset exchange and custodian built for both individuals and institutions.
501-1000 employees
H1B Sponsorship
Gemini has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (2)
2024 (1)
Funding
Current Stage
Public CompanyTotal Funding
$499.9MKey Investors
RippleDraper DragonMorgan Creek Digital
2025-09-12IPO
2025-07-10Debt Financing· $75M
2022-06-20Secondary Market· $1M
Leadership Team
Tyler Winklevoss
Co-Founder & CEO
Cameron Winklevoss
Co-founder & President
Recent News
Indian Express
2026-01-17
2026-01-16
Analytics Insight: Latest AI, Crypto, Tech News & Analysis
2026-01-11
Company data provided by crunchbase