Senior Compliance Manager, Tokenized Securities Venue (Americas)

OKX•San Jose, CA

About The Position

OKX’s Americas Compliance team is hiring a Senior Compliance Manager to own compliance for OKXICE TSV, a tokenized securities venue operated by the OKX and Intercontinental Exchange joint venture under the SEC’s Innovation Exemption. The venue allows eligible US users to trade tokenized US-listed stocks on-chain. This new role is accountable for meeting the exemption’s ongoing conditions and will build and operate the compliance program in close coordination with Legal, Product, Web3 Risk Control, and AML, Sanctions, and Surveillance teams.

Requirements

At least 8 years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS), or digital asset firm, including direct experience with SEC-regulated activity.
Working knowledge of federal securities laws applicable to trading venues, such as Regulation ATS, Regulation NMS, and market manipulation rules, and the ability to apply them to new market structures.
Experience building or running compliance programs under regulatory conditions, exemptive relief, or no-action positions.
Familiarity with blockchain-based trading, including self-custodied wallets, smart contracts, liquidity pools, and on-chain screening.
Strong drafting skills and experience translating complex technical or legal details into clear public disclosures and procedures.
Sound judgment and ability to work with Product, Engineering, and Legal teams across time zones.

Nice To Haves

Experience with tokenized securities, transfer agents, or digital asset broker-dealers.
Exposure to OFAC sanctions programs and blocked property handling for on-chain assets.
Experience reporting to a board or joint venture governance body.
A JD or similar legal background.

Responsibilities

Own the compliance program for the venue’s SEC exemption, including tracking each condition, testing controls, and maintaining records for regulatory examination.
Manage the venue’s public notice by reviewing revisions, controlling versions, ensuring it matches product operations, and completing corrections and material-change filings within required deadlines.
Manage the issuer notice process from start to finish, tracking delivery, handling objections, and confirming each stock’s listing date.
Continuously track and monitor TSV limits, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts, and eligible stablecoins.
Escalate breaches, significant operational events, and required SEC notifications.
Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening, maintaining current wallet-to-participant records, and issuing or revoking the SBT credential that grants access.
Report to the OKXICE LLC Board of Managers and Americas Compliance leadership.
Manage and develop a TSV Compliance Analyst.