Senior Compliance Manager, Tokenized Securities Venue (Americas)

Remote Roles - LATAM; San Jose, California, United States. Posted 10 days ago

The role

The Senior Compliance Manager will own the compliance program for the OKXICE TSV SEC exemption. This role involves tracking exemption conditions, managing public notices, monitoring trading limits, and overseeing participant onboarding.

What you will do

Own the compliance program for the venue's SEC exemption.
Track exemption conditions, test controls, and keep records for regulatory examination.
Manage the venue's public notice including revisions and material-change filings.
Run the issuer notice process from start to finish.
Track and monitor TSV limits including per-stock and volume limits.
Escalate breaches, significant operational events and required SEC notifications.
Oversee participant onboarding and ongoing wallet maintenance and monitoring.
Issue and revoke the soulbound token (SBT) credential.
Report to the OKXICE LLC Board of Managers and Americas Compliance leadership.
Manage and develop a TSV Compliance Analyst.

Required qualifications

8+ years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS) or digital asset firm.
Direct experience of SEC-regulated activity.
Working knowledge of federal securities laws such as Regulation ATS, Regulation NMS and market manipulation rules.
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 for turning technical or legal detail into public disclosures and procedures.
Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.

Nice to have

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.
A JD or a similar legal background.

Benefits

Competitive total compensation package
Various team building programs and company events
Wellness and meal allowances
Comprehensive healthcare schemes for employees and dependants

About the company

OKX is a leading crypto exchange and the developer of OKX Wallet. It is a trusted brand by hundreds of large institutions seeking access to crypto markets.