Head of Compliance

Gemini

Lead compliance program for Gemini's broker dealer and commission merchant operations. Oversee FCM compliance, conduct market surveillance, and serve as primary regulatory contact.

Posted 7/9/2026full-timeRemote • California, New York, Washington • 🇺🇸 United StatesLead💰 $150,500 - $279,500 per yearWebsite

About the role

Key responsibilities & impact

Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
Supervise trade and market surveillance across the firm's securities and derivatives products
Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
Maintain the firm's AML program covering both broker-dealer and FCM activities
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
Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
Review and approve advertising, marketing, and sales materials

Requirements

What you’ll need

BA/BS degree
Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
10+ years of securities and/or commodities regulatory compliance experience
Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
Comfort working in a technology-forward environment
Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
Authorization to work in the United States and fluency in English.

Benefits

Comp & perks

Competitive starting pay
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

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Regulatory ComplianceRisk ManagementWritten Supervisory ProceduresTrade SurveillanceCustomer Segregation ComputationsFinancial FilingsAdvertising ReviewMarket SurveillanceSecurities RegulationsCommodities Regulations

Soft Skills

Superior Writing SkillsAnalytical SkillsCollaboration

Certifications

FINRA Series 63 LicenseFINRA Series 24 LicenseNFA Series 3 License