BSA Officer and Chief Compliance Officer Americas

Copper Technologies-posted 11 months ago
Full-time
New York City, NY
251-500 employees
Publishing Industries
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Copper is looking for a skilled and collaborative Americas BSA & Chief Compliance Officer to join our growing digital assets infrastructure business, the role holder will also act as the Deputy to the Group Chief Compliance Officer. You will be the Compliance lead for Coppers licensing and regulatory registrations in the US at state and federal level, for which you be the 'approved' person under BSA. This full-time BSA & CCO role is based in New York with some occasional travel abroad. As a committed and experienced BSA & Chief Compliance Officer you will align and operationalise the company's regulatory policies and procedures for the Americas. You will create and lead the development and implementation of the compliance programme for the Americas, where your sound judgment on both commercial and risk & control matters will champion company culture and its regulatory agenda. As BSA and CCO you will ensure Copper complies with its AML regulations and take required measures against financial crime.

  • Manage the Americas Compliance function including the inter group outsourcing arrangements for Transaction Monitoring, Compliance Advisory, AML / KYC (Operations) and other areas applicable to USA licenses and registrations.
  • Actively participate in group wide Compliance and AML activities, and where called upon act as the Group Chief Compliance Officers Deputy.
  • Act in the roles of lead Americas Money Laundering Reporting Officer (BSA Officer) and Chief Compliance Officer for Copper.
  • Manage the money laundering reporting process and implement specific steps within the compliance program to ensure effective implementation of the regulations and statutory requirements concerning Anti-Money Laundering (AML) and Combatting Terrorism Finance (CTF), standards and regulatory requirements.
  • Plan and deliver a staff and management Compliance training program for the Americas (aligned to group) on an ongoing basis.
  • Develop regular compliance and financial crime / AML monitoring procedures and practices for operations in the Americas.
  • Represent Americas Compliance at Management and Governance forums.
  • Align Compliance controls framework to Americas Regulatory and Licensing framework.
  • Undertake assessments of the compliance risks relating to the Copper businesses, the related controls the businesses have in place or should develop and the Compliance controls which have been, or need to be, implemented.
  • Advise and support the Copper businesses globally on applicable law, rules, and regulation, including the development of responses to, and implementation of, new regulations.
  • Support and / or manage the coordination of all reporting and disclosures to key US and applicable regulators.
  • Carry out regular reporting to the Americas Board and Executive Management and ensure that monthly and quarterly reporting is maintained and presented at the highest quality level.
  • Monitor and interpret regulatory changes and developments to ensure the impact on the business is highlighted and assessed.
  • Contribute to product reviews and new product approval processes.
  • Create a cooperative culture both within the Compliance team as well with the business and other control functions.
  • Extensive knowledge of and senior management experience in performing and managing compliance processes in the following: crypto, investment banking or hedge fund industries.
  • Excellent understanding of KYC/AML, sanctions & embargoes screening, payments, transaction / trade monitoring, general compliance aspects and outsourcing requirements.
  • Knowledge of (crypto, derivatives, buy/sell side, funds, trading, technology) areas, including product suite, services, systems, and key risks.
  • Experience with prime brokerage, collateral management, stock borrow lending is preferred; digital assets experience is essential.
  • Previous compliance oversight accountability, including hands-on experience, with US regulator regimes (SEC, DFS, OFAQ, OCC); an understanding of non-US regulatory requirements is an advantage.
  • Proven experience in the provision of Compliance leadership in digital asset / crypto business.
  • Additional experience in Investment banking business / desk, hedge fund or similar business is an advantage.
  • An ability to interpret, understand and advise the business on a broad range of legal and regulatory issues.
  • Ability to analyse complex financing transactions and assess an array of compliance considerations including information barriers, suitability, and cross border risks.
  • Commercial awareness with the ability to make decisions that identify and consider risks specific to a growing business.
  • Accomplished in negotiating, advising, and reviewing a broad range of compliance, risk and control matters.
  • Ability to interpret, understand and advise all levels of seniority in the business of an appropriate course of action on a broad range of legal, compliance and regulatory provisions.
  • Ability to make, support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced environment.
  • A minimum of 10 years compliance working knowledge & experience gained from a leading financial services firm.
  • Must be capable to work effectively within a fast-growth technology environment.
  • Experience of working with an increasing use of technology to deliver regulatory oversight, reporting and outcome.
  • Calm and professional attitude, capable of dealing with senior management and board members.
  • Experience in investment banking business / desk, hedge fund or similar business.
  • Understanding of non-US regulatory requirements.
  • Exciting, challenging role in a fast-growing and dynamic business.
  • Career opportunities.
  • Welcoming working environment.
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