Head of Compliance, Gemini Galactic Markets, LLC

Gemini•New York, NY

1d•Hybrid

About The Position

Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer. This role is required to be in person twice a week at our New York City, NY office.

Requirements

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

Nice To Haves

Advanced degree/certifications, e.g. JD, MBA
Familiarity with virtual currencies, digital transfer platforms, ATS
Strong cross-functional collaboration skills
Interest in building the future of compliance and an owner’s mindset to your work
Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm

Responsibilities

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