Compliance Director

The Compliance Director will develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume’s public blockchain-based broker-dealer operations. They will monitor regulatory changes from the SEC, FINRA, and other relevant authorities, and update firm practices accordingly. Also, they will conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues, and oversee the Plume broker-dealer's Anti-Money Laundering (AML) program, including suspicious activity reporting and customer due diligence. They will manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports. This is a collaborative work environment with flexibility for remote/hybrid arrangements and a chance to make a significant impact in a growing firm while advancing your career in financial compliance.