Associate, Compliance Advisory

Genesis

New York, NY, USA

Full Time

Nov 1

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 – Associate, Compliance Advisory

We are currently seeking a motivated and enthusiastic Compliance Advisory Associate who will report to the Compliance Chief of Staff. The Compliance Associate is responsible be for supervising the business to ensure compliance with regulations and firm policies as well as assist with the implementation of new regulations and new systems / processes

Primary Responsibilities

  • Assume responsibility for the advice and guidance to business on relevant regulatory obligations and requirements both proactively and in response to queries
  • Develop strong working relationships with business line leadership
  • Develop, maintain, and monitor a dashboard of key compliance metrics, based on key compliance risks, for each business line and make weekly reporting of metrics to business line heads, the Chief of Staff, and CCO. Report metrics to other departments within the organization as needed
  • Maintain all business line compliance policies, and procedures, including documentation alignment, amendments, control re-writes/reviews, etc.
  • Provide input into the Compliance Risk Assessment (CRA) and Independent Testing Programs
  • Monitor and advance CRA RAU Corrective Action Plans
  • Track and monitor regulatory developments and changes and update compliance policies and procedures as necessary
  • Conduct in-person/live trainings with business line staff and Compliance colleagues related to regulatory updates, new products, compliance key risks, compliance policies and procedures (specific to the business lines), etc.
  • Perform compliance monitoring and surveillance activities relating to GGC & GGCI including the monitoring of high-risk counterparties
  • Work closely with the AML/KYC Team and provide input into AML/KYC processes
  • Work with Compliance staff in other jurisdictions to ensure compatibility and cohesion with firmwide policies and procedures
  • Work closely with other members of the Compliance Team to provide back up coverage for other business lines as required
  • Co-ordinate and manage any ad-hoc projects that arise 

Requirements

  • Bachelor’s degree in Law/Accounting/Finance or related discipline. Advanced degree preferred
  • At least 3-5 years experience in Compliance, preferably in a FINRA member firm or SEC regulated organization
  • Quick learner who can adapt well to a fluid regulatory and business environment.
  • Excellent written and oral communication skills including conflict management skills, and experience interacting with business side and senior management
  • AML Certification (ACAMS) or other AML / Compliance certification preferred
  • FINRA Series 7 required or must be obtained within six months of hire

Benefits

  • 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.

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Genesis

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

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