Compliance Program Lead

New

Skills

AML program management Broker-dealer compliance Customer segregation computations Derivatives compliance FCM compliance Market surveillance Regulatory compliance Risk management Securities law Trade surveillance

The Head of Compliance at Gemini Galactic Markets, LLC is responsible for leading the advisory for the broker-dealer compliance program and overseeing the FCM compliance program. This role involves managing daily customer segregation computations and filings while supervising trade and market surveillance for securities and derivatives.

Key Responsibilities
  • Lead advisory for broker-dealer compliance program.
  • Oversee the FCM compliance program and risk management.
  • Manage daily customer segregation computations and filings.
  • Supervise trade and market surveillance for securities/derivatives.
  • Act as the primary contact for FINRA, NFA, SEC, and CFTC exams.
  • Maintain AML program for broker-dealer and FCM.
Requirements & Qualifications
  • BA/BS degree and US work authorization.
  • Active FINRA 7, 63, 24; NFA 3 within 120 days.
  • 10+ years of securities/commodities regulatory compliance experience.
  • Expertise in broker-dealer/FCM operations.
  • Strong FINRA/SEC/CFTC/NFA compliance knowledge.
  • Tech-forward environment; strong writing skills.

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Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: Months

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