VP, FCM, Tokenization & Stablecoin Compliance Officer

DriveWealth•New York, NY

8d•$215,000 - $225,000•Hybrid

About The Position

DriveWealth LLC is seeking a highly motivated and seasoned VP, FCM, Tokenization & Stablecoin Compliance Officer in either our New York or Chicago office to lead compliance for the firm’s expansion into event-based prediction markets and stablecoin/tokenization initiatives. Reporting to the Chief Compliance Officer, you will build and lead the compliance program supporting DriveWealth’s FCM registration and NFA membership, alongside the firm’s growing digital asset and stablecoin footprint. In this leadership role, you will provide expert guidance on complex regulatory matters spanning CFTC and NFA rules governing futures commission merchants, prediction and event contract markets (including our relationship with Kalshi), and the regulatory frameworks applicable to stablecoin issuance, custody, and tokenization. This is a build role: as firms across the industry, including Robinhood and other fintech and brokerage platforms, expand into similar products, we are seeking a leader who has directly navigated this regulatory landscape and can stand up a compliant, scalable program while shaping firm-wide controls within an innovative and entrepreneurial culture.

Requirements

Bachelor’s Degree; J.D. or other advanced degree a plus.
12+ years of Compliance, Legal, Regulatory, or Financial Services experience, including at least 5+ years focused directly on futures/derivatives (FCM) compliance and/or stablecoin, tokenization, or digital asset regulatory compliance.
Deep understanding of CFTC and NFA rules governing futures commission merchants, prediction and event contract markets, and derivatives clearing, along with direct, hands-on experience with stablecoin issuance, tokenization, digital asset custody, and related regulatory frameworks (e.g., the GENIUS Act, OCC guidance, and state money transmitter licensing).
Comfortable partnering closely with the firm’s Financial Crimes team on BSA/AML and Travel Rule matters as they apply to these products.
Required: Series 3 (National Commodity Futures Examination), with Series 30 (NFA Branch Manager) strongly preferred; FINRA Series 7 and 24 and NFA Swaps Proficiency Requirements (Swaps Certificate) are a plus.
An AML certification (e.g., CAMS) is a plus for coordinating with the firm’s Financial Crimes team, though this role does not own BSA/AML program responsibilities.
Proven build experience: Track record standing up or scaling a compliance program for a new product line, ideally at a firm expanding into prediction markets and/or digital assets, such as Robinhood, Kalshi, or a comparable platform.
Strong ability to work with large trade and transaction datasets and translate complex, cross-regulatory requirements into practical control updates.
Excellent interpersonal and communication skills to interface with all levels of management and build effective relationships.

Nice To Haves

J.D. or other advanced degree
Series 30 (NFA Branch Manager)
FINRA Series 7 and 24
NFA Swaps Proficiency Requirements (Swaps Certificate)
An AML certification (e.g., CAMS)

Responsibilities

Build and lead the compliance function supporting DriveWealth’s FCM registration, NFA membership, and stablecoin/tokenization initiatives, hiring and developing staff as the business scales.
Manage and re-prioritize team workloads across FCM, prediction market, and stablecoin/tokenization workstreams to ensure multiple projects and regulatory deadlines are met simultaneously.
Review and approve detailed reports and surveillance investigations prepared by staff covering prediction market trading activity and stablecoin/tokenized asset transactions to ensure accurate summarization of issues and logical solutions.
Advise business units on CFTC, NFA, and applicable state and federal digital asset regulatory obligations tied to prediction markets and stablecoins, as well as new rule proposals and firm policies.
Design, implement, and maintain effective compliance frameworks aligned with CFTC, NFA, state money transmitter and stablecoin regulatory regimes (e.g., the GENIUS Act), and other regulatory obligations.
Oversee the development and maintenance of Written Supervisory Procedures (WSPs) for FCM operations, and internal policies governing stablecoin reserves, redemption mechanics, and tokenized asset custody.
Proactively partner with Kalshi and other prediction market venues, stablecoin/tokenization technology partners, the firm’s Financial Crimes team, business management, risk, and technology to ensure sound business operations and facilitate the firm's success.
Perform Level 2 compliance reviews of prediction market and stablecoin/tokenization activity directly in the early stages of this role, transitioning to a supervisory capacity as the team is built out, ensuring firm-wide adherence to internal standards throughout.
Enhance surveillance and monitoring frameworks covering event contract trading patterns and stablecoin transaction activity by refining detection logic and identifying patterns in large trade and transaction datasets, partnering with the firm’s Financial Crimes team on BSA/AML and Travel Rule monitoring.
Develop and analyze data for Compliance management reports, including FCM financial/segregation reporting and stablecoin reserve attestations, and provide periodic status updates on key issues.
Lead the firm’s response to regulatory exams and inquiries from the CFTC, NFA, state money transmitter regulators, and other applicable authorities related to FCM and stablecoin/tokenization activities.
Coordinate the collection of documentation and ensure timely follow-up for all regulatory inquiries.