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GDAX Surveillance Lead
New York, NY
Our vision is to bring more innovation, efficiency, and equality of opportunity by helping create an open financial system for the world. We are focused on making digital currency accessible to everyone. We are guided by these principles: be the most trusted company in our industry and create products that are easy to use.
The GDAX Surveillance Lead will be responsible for market monitoring and trade surveillance for GDAX on an ongoing basis. This person will help the Compliance team prepare for critical changes in the market by designing, implementing, and managing compliance processes that allows the business to scale. The person will be based in our New York office and should anticipate some travel between NY and our headquarters in SF.
- Conduct daily, weekly and monthly monitoring of trade surveillance and develop and implement surveillance reports as required
- Keep abreast of regulatory and market structure changes that may affect the scope of the existing surveillance
- Stay up to date with SEC/FINRA/CFTC regulations as they would relate to GDAX
- Develop and implement policies and procedures to encompass GDAX operations
- Represent GDAX to regulatory authorities and coordinate responses to the agencies as and when required
- Collaborate with other Key Compliance individuals like the Outreach Manager as well as the BSA Officer and others to design and implement policies and procedures and processes relating to transaction monitoring, KYC, EDD and tuning thresholds to optimize investigations
- Provide clarity to teams on-boarding institutions and be the escalation point for any issues or risks arising as part of the on-boarding
- Minimum 5 years relevant experience in a market surveillance/compliance function (leading complex compliance projects, operating cross-functionally, trade surveillance experience)
- Extensive knowledge of applicable laws, regulations, and guidelines
- Knowledge of Institutional onboarding is a plus
- Prefer ACAMS or other relevant certification
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
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