Director, US Broker-Dealer Compliance

Crypto.com

. Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting .

Posted 4/30/2026full-timeRemote • 🇺🇸 United StatesLead💰 $230,000 - $280,000 per yearWebsite

About the role

Key responsibilities & impact

Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting
Prepare and submit regulatory filings including Forms U4, U5, Form BD, Form BR, CMA and MatCon
Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations
Manage FINRA Rule 4530 Reporting and respond to all regulatory inquiries in a timely and organized manner
Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards
Support Margin and Options compliance and risk management
Support the NH Trust Custody program, including IRA-related compliance matters
Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes
Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations

Requirements

What you’ll need

Experience with Broker-Dealer compliance, and prior interaction with FINRA and the SEC
FINRA registration required, including fingerprinting; Series 7 and Series 24 are required, Series 4 is strongly preferred
Strong organizational skills with the ability to manage a broad scope of responsibilities independently
Comfortable working across teams and communicating directly with state and federal regulators
Familiarity with trust custody compliance and IRA regulations is a plus.

Benefits

Comp & perks

Competitive salary
Attractive annual leave entitlement including: birthday, work anniversary
401(k) plan with employer match
Eligible for company-sponsored group health, dental, vision, and life/disability insurance
Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance testingregulatory filingsFINRA Rule 4530 ReportingSEC Rule 605/606 reportingMargin complianceOptions complianceIdentity Theft Prevention ProgramPrivacy regulationsInformation Security compliancetrust custody compliance

Soft Skills

organizational skillscommunication skillsindependent managementcross-team collaborationtimely response to inquiriesattention to detailability to manage responsibilities

Certifications

FINRA registrationSeries 7Series 24Series 4