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Securitize · 2 hours ago

Compliance Analyst

United States

Full-time

Remote

Mid Level

4+ years exp

Securitize is a leader in tokenizing real-world assets and is seeking a Compliance Analyst to support ongoing compliance operations. The role involves regulatory compliance activities, monitoring, documentation, and internal controls to ensure adherence to various compliance regulations.

BlockchainCryptocurrencyFinancial ServicesFinTechInformation Technology

Responsibilities

Support compliance operations for a registered broker-dealer, transfer agent, including policies, procedures, internal controls, projects and regulatory filings

Assist with monitoring and surveillance activities (e.g., communications review, transaction monitoring, AML alerts)

Support regulatory exams, audits, and information requests from regulators (SEC, FINRA, etc.)

Conduct periodic compliance testing and assist in remediation tracking

Partner with Legal, Operations, and Product teams to ensure compliance considerations are embedded into workflows

Assist with employee compliance matters, including training, attestations, and certifications

Track regulatory changes and help assess potential impact to the business

Qualification

AML/KYC complianceRegulatory operationsBroker-dealer experienceRegulatory reportingFinancial crime investigationsInvestigation toolsCAMS certificationFINRA licensesDigital assets exposureAttention to detailWritten communicationVerbal communicationCross-functional collaboration

Required

4+ years of experience in AML/KYC compliance, risk, or regulatory operations within financial services

Experience with or exposure to broker-dealer and AML/KYC compliance (FINRA / SEC regulated environment preferred)

Familiarity with areas such as AML/KYC, trade surveillance, regulatory reporting, financial crime investigations, enhanced due diligence, on-going monitoring and AML alert dispositioning

Experience using investigation tools such as Lexis Nexis, World Check, Chainalysis and other similar systems

Experience evaluating customer information, assess risk factors, and provide clear, documented findings to AMLCO

Strong attention to detail and ability to manage multiple compliance workflows simultaneously

Excellent written and verbal communication skills

CAMS, FINRA licenses and any other relevant certifications

Exposure to digital assets, blockchain, or tokenized securities

Comfortable working cross-functionally in a fast-paced environment