Compliance Lead

About the Team

As Compliance Lead for the SaaS platform, you will be focused on leading and supporting compliance efforts with various regulatory regimes that apply to our SaaS business, including, but not limited to, economic sanctions, anti-bribery, and anti-corruption programs. In addition to these responsibilities, the Compliance Lead will conduct risk reviews of SaaS business customers and report findings to senior management. Risk reviews will encompass initial assessments of new SaaS licensees and ongoing reviews leveraging public information and blockchain analytics.

To be successful in this role, the candidate will need to work closely with internal and external stakeholders, including senior management, front line business leaders, and prospective SaaS licensees. Expertise in digital asset investigative processes, including customer due diligence and blockchain analysis, will be crucial in establishing and executing operations for this role. The ideal candidate will be comfortable working in a fast-paced environment handling multiple ongoing projects that are delivered on time. We are looking for a candidate armed with a roll-up-your-sleeves mentality and forward-thinking approach that is eager to help across multiple verticals and advise business teams on global risks.

This position reports directly to the company’s Senior Director of Compliance and will be an independent contributor initially. This role will be based in the US, with preference for candidates based near our NYC HQ; although qualified candidates from other locations are highly encouraged to apply.

What You’ll Do

• Support development and implementation of compliance program components, including drafting policies, procedures, or desktop instructions.
• Conduct sanctions screening of SaaS relationships, ensuring that all customers, contracts, transactions, and counterparties are screened against applicable global sanctions lists, including OFAC, EU, and UN lists.
• Conduct customer due diligence (“CDD”) on SaaS licensees, including verifying incorporation details, assess licensee operations utilizing open-source intelligence (“OSINT”) tools, adverse media screening, and public records.
• Conduct risk-based investigations of alerts generated from CDD investigations or screening tools, identifying potential risks relevant to a technology company.
• Respond to law enforcement inquiries by gathering and providing responsive data.
• Stay updated on regulatory developments related to sanctions, anti-bribery, anti-corruption and other compliance areas, and coordinate with stakeholders to ensure timely implementation of regulatory updates and enhancements to compliance processes as needed.
• Provide guidance to employees on compliance-related matters and be a point of contact for compliance-related inquiries.
• Tackle ad hoc projects as necessary to support the enhancement or operation of the compliance program at the direction of the Senior Director of Compliance.

What You’ll Bring

• 5+ years of experience working in Web3 organizations with an intermediate familiarity of digital assets and their various use cases.
• Substantial experience conducting investigations into digital asset activities, leveraging a blockchain analytics platform (e.g., Chainalysis, TRM, Elliptic).
• Ability to contribute to the design of effective compliance controls for applicable regulatory regimes.
• Growth mindset to tackle any problem and learn any skill that will support the evolution of the compliance programs.
• Strong analytical and problem-solving skills, including how to identify patterns of unusual or suspicious activity.
• Excellent personal, political, analytical, and communications skills with a high attention to detail.
• Excellent written work with a concise, direct style.

Nice to have

• Although this role is with a non-regulated company, experience working with financial institutions in an investigative or customer monitoring capacity, especially within AML/CTF Compliance Programs, is a favorable attribute for this role.
• Experience as a manager is helpful, but not required.
• An advanced degree in finance, business, or law (e.g., Masters, Juris Doctor) can be substituted for some years of working experience.
• Domain-specific certification(s), such as Anti-Money Laundering Specialist (“CAMS”), or blockchain analytics tool, e.g., Chainalysis Reactor Certificate.
• Experience or interest in novel payments or digital assets use cases, including tokenization, digital identity, non-fungible tokens, air drops, or blockchain infrastructure.

It is not typical for a candidate to be hired at or near the top of the pay range and each compensation decision is dependent on each individual case. A reasonable base salary range estimate for this position is $120,000 to $160,000. The base salary is one component of the total compensation package, which for some roles may include a target bonus, a very competitive equity grant, and very generous benefits.

While we believe competitive compensation is a critical aspect of you deciding to join us, we do hope you also spend time considering why our mission and culture are right for you. We are creating something transformational here, and we hope you are as excited about the future as we are.