OKX

Venture capital for blockchain startups

Senior Compliance Manager - Tokenized Securities Venue

Regulatory Compliance & EthicsUpdated on Nov 13

Full-timeNo salary listedRemote

About the Job

Requirements

At least 8 years of compliance experience at a FINRA-registered broker-dealer, exchange, alternative trading system, or digital asset firm, including direct experience with SEC- and FINRA-regulated activity.
FINRA Series 24 (General Securities Principal) registration, or ability to qualify within an agreed period after joining.
Hands-on experience with a FINRA new membership or continuing membership application, including preparing the application and handling FINRA staff questions through approval.
Working knowledge of applicable federal securities laws and FINRA rules for broker-dealers and trading venues, including Regulation ATS, Regulation NMS, net capital and customer protection rules, and market manipulation rules, and 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.

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 making corrections and material-change filings within required deadlines.
Run the issuer notice process end to end, including tracking delivery, handling objections, and confirming each stock's listing date.
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 and revoking the soulbound token credential granting access.
Lead the broker-dealer through the FINRA new membership application, including Form BD, the business plan and supporting exhibits, responses to FINRA staff requests, and the membership interview.
Coordinate evidence required by FINRA before approval, including officer and director structure, authorized signatories on broker-dealer bank accounts, bank statements, independent auditor engagement, clearing agreement, and flow-of-funds and demonstration materials.
Build the broker-dealer's compliance program, including written supervisory procedures, the supervisory control system, an AML program under FINRA Rule 3310 with customer identification procedures, and books and records under SEC Rules 17a-3 and 17a-4.
After broker-dealer approval, manage ongoing compliance, including annual certification under FINRA Rule 3130, supervisory control testing under Rule 3120, regulatory filings, and FINRA examinations and inquiries; work with the Financial and Operations Principal on net capital and FOCUS reporting.

Desired Qualifications

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.
FINRA Series 14 (Compliance Official) registration.
Experience working with a clearing firm under a fully disclosed clearing arrangement.
A JD or similar legal background.

Who We Are

At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me, Do the Right Thing, and Get Things Done. These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er.

About the Opportunity

The Americas Compliance team is hiring a Senior Compliance Manager to own compliance for OKXICE TSV and for the joint venture's new broker-dealer. OKXICE TSV is the tokenized securities venue run by the OKX and Intercontinental Exchange joint venture under the SEC's Innovation Exemption, and it lets eligible US users trade tokenized US-listed stocks on-chain. The joint venture is also registering a broker-dealer with FINRA. You'll be the main person accountable for meeting the exemption's ongoing conditions and for taking the broker-dealer through FINRA membership and into operation. You'll work closely with Legal, Finance, Product, Web3 Risk Control and our AML, Sanctions and Surveillance teams, as well as outside counsel and the broker-dealer's clearing firm. These are new businesses, so you'll help build the programs as well as run them.

What You'll Be Doing

Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination.
Manage the venue's public notice: review revisions, control versions, and make sure the notice matches how the product actually works. This includes corrections and material-change filings within the required deadlines.
Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date.
Track and monitor TSV limits on an ongoing basis, 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, keeping wallet-to-participant records current, and issuing and revoking the soulbound token (SBT) credential that grants access.
Lead the broker-dealer through the FINRA new membership application, including Form BD, the business plan and supporting exhibits, responses to FINRA staff requests, and the membership interview.
Coordinate the evidence FINRA needs before approval, such as the officer and director structure, authorized signatories on the broker-dealer's bank accounts, bank statements, the independent auditor engagement, the clearing agreement, and flow-of-funds and demo materials.
Build the broker-dealer's compliance program, including written supervisory procedures, the supervisory control system, an AML program under FINRA Rule 3310 with customer identification procedures, and books and records under SEC Rules 17a-3 and 17a-4.
Once the broker-dealer is approved, run its ongoing compliance, including the annual certification under FINRA Rule 3130, supervisory control testing under Rule 3120, regulatory filings, and FINRA examinations and inquiries. Work with the Financial and Operations Principal on net capital and FOCUS reporting.

What We Look For In You

8+ years of compliance experience at a FINRA-registered broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC- and FINRA-regulated activity.
FINRA Series 24 (General Securities Principal) registration, or the ability to qualify within an agreed period after joining.
Hands-on experience with a FINRA new membership or continuing membership application, including preparing the application and handling FINRA staff questions through to approval.
Working knowledge of the federal securities laws and FINRA rules that apply to broker-dealers and trading venues, such as Regulation ATS, Regulation NMS, the net capital and customer protection rules, and market manipulation rules, plus 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 how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening.
Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
Sound judgment and the 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.
Series 14 (Compliance Official) registration.
Experience working with a clearing firm under a fully disclosed clearing arrangement.
A JD or a similar legal background.

Perks & Benefits

Competitive total compensation package
Various team building programs and company events
Wellness and meal allowances
Comprehensive healthcare schemes for employees and dependants
More that we love to tell you along the process!

OKX Statement:

OKX is committed to equal employment opportunities regardless of race, color, genetic information, creed, religion, sex, sexual orientation, gender identity, lawful alien status, national origin, age, marital status, and non-job related physical or mental disability, or protected veteran status. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Notice:

All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website.

Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.

About the Company

OKX

Venture capital for blockchain startups

OKX Ventures acts as the investment arm of the OKX cryptocurrency exchange, funding and supporting blockchain, DeFi, and Web3 projects. It invests across a wide range of areas—from infrastructure and middleware to applications and games—aiming to strengthen the crypto ecosystem. The firm provides capital and access to OKX’s network of partners and advisors to help portfolio companies grow and succeed. Notable holdings include Polygon, Solana, and Avalanche, reflecting a strategy focused on projects with potential to impact the crypto industry at large. OKX Ventures differentiates itself through its crypto-native perspective, extensive industry network, and active involvement in portfolio development, rather than just providing funding. Its goal is to identify promising projects and help them scale, contributing to a more robust and innovative blockchain ecosystem.

Company size: 5,001-10,000
Company stage: Not listed
Total funding: $1.1B
Headquarters: Singapore, Singapore
Founded: 2017

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