Chief Compliance Officer (CCO) - Broker-Dealer and Transfer Agent

About the position As the Chief Compliance Officer for Plume’s broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a universe of onchain RWAs. You will provide essential support in obtaining both the broker-dealer and transfer agent licenses, designing and implementing comprehensive compliance programs, and ensuring ongoing compliance with FINRA, SEC, and other applicable regulations. The Chief Compliance Officer (CCO) will lead Plume’s broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies. This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary liaison with regulatory bodies such as the SEC and FINRA. The CCO will oversee compliance for both broker-dealer activities and transfer agent functions, including securities registration, transfer, and recordkeeping. We encourage applications from senior- and mid-level professionals with strong foundational experience who are ready to step into a leadership position in a fast-moving digital asset start-up.

Responsibilities

• Develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume’s public blockchain-based broker-dealer operations.
• Assist in drafting and negotiating materials in connection with Form BD submission.
• Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities, and update firm practices accordingly.
• Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues.
• Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program, including suspicious activity reporting and customer due diligence.
• Ensure compliance with transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, covering recordkeeping, safekeeping of securities, and timely processing of transfers and issuances.
• Provide compliance training and guidance to employees, including sales, trading, and operations teams.
• Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports.
• Collaborate with senior management to integrate compliance considerations into business strategies and product development, particularly in US digital asset offerings.
• Investigate and resolve compliance-related incidents, including client complaints and ethical concerns.
• Maintain accurate records of compliance activities and prepare reports for the Board of Directors and executive leadership.
• Stay abreast of industry best practices and emerging risks in areas like cybersecurity, data privacy, and digital assets compliance.

Requirements

• Bachelor's degree in Finance, Business, Law, or a related field; advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred.
• Minimum of 5 years of experience in compliance roles within the financial services industry, with direct exposure to broker-dealer operations preferred.
• Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses required; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred. Candidates without current licenses must obtain them within 90 days of hire.
• Solid understanding of SEC and FINRA rules, including but not limited to Regulation Best Execution (Reg BI), Rule 17a-3 and 17a-4 (reporting and recordkeeping), and antifraud provisions under Section 10(b) of the Securities Exchange Act and Rule 10b-5.
• Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions.
• Strong analytical, problem-solving, and communication skills, with the ability to explain complex regulations to non-experts.
• Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).
• High ethical standards and a commitment to fostering a compliant organizational culture. Nice-to-haves
• 7+ years in compliance, including supervisory or leadership roles in a broker-dealer and transfer agency setting.
• Additional FINRA licenses such as Series 4 (Registered Options Principal) or Series 14 (Compliance Official) are a plus.
• Demonstrated experience with digital asset regulations and compliance challenges in the cryptocurrency or blockchain space.
• Experience with risk management frameworks and data analytics for compliance monitoring, including transfer agent-specific processes.
• Familiarity with SEC transfer agent regulations and systems for managing securities ownership records and transaction processing, i.e. SEC Rules 17Ad-1 through 17Ad-20 (transfer agent regulations).

Benefits

• Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses.
• Opportunities for professional development, including reimbursement for license maintenance and continuing education.
• A collaborative work environment with flexibility for remote/hybrid arrangements.
• The chance to make a significant impact in a growing firm while advancing your career in financial compliance. Apply tot his job

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