Compliance Director

Plume(3 months ago)

HybridFull TimeDirector$156,526 - $207,262 (estimated)Private

About this role

The Compliance Director at Plume Network Inc. will lead compliance efforts for the company's broker-dealer and transfer agent operations, focusing on adherence to SEC and FINRA regulations. Responsibilities include developing and implementing compliance policies, overseeing AML programs, conducting audits, and serving as a liaison with regulatory bodies. The role also entails training staff, managing regulatory examinations, and integrating compliance into business strategies related to digital assets. Candidates should have a strong background in financial services compliance, particularly in broker-dealer operations, and possess relevant FINRA licenses.

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Required Skills

Compliance Programs
Regulatory Compliance
Risk Management
Internal Audits
Anti-Money Laundering
Securities Registration
Compliance Training
Regulatory Examinations
Policy Development
Communication Skills

+5 more

Qualifications

Bachelor's degree in Finance, Business, Law, or a related field
Advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred
Active FINRA Series 7 (General Securities Representative) license
Active FINRA Series 24 (General Securities Principal) license
Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred
Candidates without current licenses must obtain them within 90 days of hire
Understanding of SEC and FINRA rules
Additional FINRA licenses such as Series 4 (Registered Options Principal) or Series 14 (Compliance Official) are a plus

About Plume

www.plumenetwork.xyz

Plume is a public blockchain platform designed to transform real-world assets (RWAs) into globally accessible financial tools with true crypto-native utility. The platform focuses on enabling seamless distribution and management of RWAs through advanced technology, including its blockchain architecture, developer tools, and ecosystem support. With a commitment to democratizing access to financial opportunities, Plume aims to integrate traditional assets into the rapidly evolving digital economy, creating new avenues for investment and yield generation. Its ecosystem is backed by notable institutions and aims to empower developers and projects in the RWA space.