Compliance Director

Plume

4 months ago

3.2 on Glassdoor

Hybrid

Full Time

Director

1 applicant

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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.

Skills

Qualifications

Bachelor's degree in Finance, Business, Law, or a related fieldAdvanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferredActive FINRA Series 7 (General Securities Representative) licenseActive FINRA Series 24 (General Securities Principal) licenseSeries 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred

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.