Compliance Administrative Assistant


New York, NY, USA

Full Time

Sep 21

About Genesis

Genesis is a global leader in institutional digital asset markets. We provide a single point of access for digital asset trading, derivatives, borrowing, lending, custody and prime brokerage services.

Genesis facilitates billions in trades, loans and transactions on a monthly basis. We have a proven track record driving results for some of the largest digital asset-focused hedge funds, quant funds, family offices, VC’s, market makers and exchanges.

Join Our Team

Genesis is expanding to solve some of the toughest challenges in digital asset financial markets.

About This Role – Compliance Administrative Assistant

Genesis Trading is seeking a Compliance Administrative Assistant in New York City, reporting directly to the Compliance Chief of Staff. The Compliance Administrative Assistant will support the team with the execution of the Compliance Program across the organization.

Primary Responsibilities

  • Provide administrative support to the compliance management team, including will including calendaring, drafting/editing correspondences, travel booking, expense management, budget reconciliation, etc.
  • Support the execution and maintenance of the Genesis Compliance Program
  • Coordinate the capture and submission of employee fingerprints to FINRA for processing
  • Process new submissions, updates, and changes to employees’ FINRA Form U-4. Draft and transmit U5 letters for offboarded employees
  • Manage the Disclosure of Personal Accounts/Accounts at other Broker-Dealers process by ensuring timely and complete disclosure by all employees, contractors, and consultants
  • Drafting and submitting 407/3210 letters to brokerage houses
  • Capturing Outside Business Activities for approval
  • Process public appearance requests and submission for approval
  • Process advertising and marketing requests and submission for approval
  • Monitor compliance regulatory calendar and ensure compliance team deadlines including regulatory commitments are met in a timely fashion
  • Assist with regulatory requests from SEC, FINRA and NYDFS as directed by Compliance management
  • Assist compliance team members with ad hoc duties


  • Bachelor’s Degree
  • 1-2 years compliance administration experience in a FINRA member firm
  • Proficiency in MS Word, Excel, PowerPoint, and Outlook
  • Excellent attention to detail
  • Proactive self-starter adept at finding solutions and resolving problems.
  • Quick learner who can adapt well to a fluid regulatory and business environment.
  • Excellent written and oral communication skills


  • Comprehensive health, vision, dental and FSA benefits
  • Flexible time off

Why Genesis

Genesis is dedicated to creating best-in-class infrastructure for institutional investors, developing advanced products that lower barriers, increase profitability and broaden access. Our team has decades of experience at top Wall Street investment banks and Silicon Valley technology firms, and includes leading experts in blockchain, distributed computing, cryptography and cybersecurity.

Digital Asset Ecosystem

Genesis operates at the heart of the digital asset ecosystem:

→ We are a subsidiary of Digital Currency Group (DCG), the largest investor in the bitcoin and blockchain space.

→ We have an unparalleled global network at the intersection of data, finance and technology.

Accelerating Momentum

Our addressable market is expanding rapidly as new institutional investors enter the space. Recent results include:

→ 300%+ Y/Y trading volume growth

→ 400%+ Y/Y loan origination growth

→ 300%+ Y/Y active loan growth

→ 150%+ Q/Q derivatives transaction growth

Diversity And Inclusion

Genesis invests in creating a welcoming environment where everyone can feel supported and connected at work.

→ We help employees develop a deep understanding of the problems we’re trying to solve.

→ We thrive on ideas driven by a broad range of perspectives.

→ We believe diverse teams lead to better products and bigger outcomes.

Genesis is an equal opportunity employer. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.


Work with us at the forefront of digitally-native finance.

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Genesis is a global leader in institutional digital asset markets, facilitating billions in trades, loans and transactions on a monthly basis.