Manager, Broker-Dealer Compliance

Coinbase Careers Page

10d•Hybrid

About The Position

Ready to be pushed beyond what you think you’re capable of? At Coinbase, our mission is to increase economic freedom in the world. It’s a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform — and with it, the future global financial system. To achieve our mission, we’re seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company’s hardest problems. Our work culture is intense and isn’t for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there’s no better place to be. While many roles at Coinbase are remote-first, we are not remote-only. In-person participation is required throughout the year. Team and company-wide offsites are held multiple times annually to foster collaboration, connection, and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective compliance programs to meet Coinbase’s regulatory obligations across the business. This role will provide critical support to Coinbase Capital Markets (“CCM” a FINRA member broker-dealer) in meeting its regulatory obligations to assist the Product team in developing a successful equities product offering.

Requirements

7+ years experience working in a retail broker-dealer compliance team.
Comfortable working in a fast-paced environment with high levels of accountability.
Experience with FINRA exams/inquiries.
Knowledge of 15c3-5 Market Access, Best Execution and CAT reporting.
Experience setting up broker-dealer compliance programs, or at least parts of programs.
Experience with institutional and retail customers.

Nice To Haves

Experience supporting a retail (fully disclosed) introducing broker.
J.D., Series 7, Series 24.
Experience working at FINRA.
Crypto Experience or willingness to learn.

Responsibilities

Providing senior compliance oversight to all aspects of CCM, including trading, reporting, policies and procedures and training.
Coordinate closely with cross functional partners in Legal, Operations, Risk, Tax, Finance and Audit to ensure a best-in class control framework.
Partner with exam management team to respond to all regulatory exams and inquiries.
Work with Market Surveillance team and Clearing Firm to ensure deployment of a robust monitoring program.
Work with the principals to design and document the firm's supervisory structure (FINRA Rule 3110) to effectively supervise all business activities and associated persons.

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