Compliance Lead, Compliance & Ethics

OKX • $143K — $214K *

New York, NY 10025In-Person

Finance & Insurance

5 - 7 years of experience

Today

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Job Overview by Ladders

Qualifications

6+ years of experience in compliance, surveillance operations, or legal within financial services, fintech, or crypto sectors.
Hands-on experience with eComms surveillance platforms.
Deep proficiency in compliance frameworks, policies, and regulatory requirements, with the ability to apply them independently.
Proven ability to build and scale compliance programs in a rapidly evolving environment with limited structure.
Strong operational instincts, capable of executing independently and driving projects without close supervision.
Ability to identify complex compliance issues and create practical, risk-based solutions.
Track record of mentoring and developing team members in compliance workflows.

Responsibilities

Lead the design and implementation of scalable compliance programs across various areas.
Own and enhance eComms surveillance controls and operational processes.
Oversee the eComms surveillance program, monitoring performance and addressing gaps.
Manage the investigation intake processes, including case documentation and whistleblower reports.
Conduct COI monitoring and ensure resolution of conflicts disclosures.
Identify and resolve complex compliance issues, providing documented solutions.
Drive compliance workstreams to completion, proposing process improvements as needed.
Leverage AI and automation to improve review quality and enhance compliance workflows.

Benefits

Competitive total compensation package.
Learning and development programs, including an education subsidy for employee growth.
Diverse team-building activities and company events.
Additional benefits shared during the hiring process.

Full Job Description

About the Opportunity

The Compliance & Ethics function at OKX oversees the policies, programs, and controls that protect the integrity of our people, operations, and business relationships. As OKX scales globally and expands its communication infrastructure, this function is building the systems and expertise to match that growth. In this role, you will become an expert in all facets of the Compliance & Ethics program - from investigation intake to surveillance operations - serving as a key operational and strategic partner to the Director and setting the compliance foundation for one of the world's leading crypto platforms.

What You'll Be Doing

Lead the design and build of scalable compliance programs and controls across Anti-Bribery & Corruption, Investigations, Conflicts of Interest, and eComms surveillance - developing intake workflows, monitoring frameworks, and operational procedures that grow with the function
Own and advance eComms surveillance controls and operational processes - including the onboarding and integration of new tools and platforms - ensuring comprehensive coverage across all approved employee communication channels
Drive eComms surveillance program oversight - monitoring coverage, assessing performance, identifying systemic gaps, and escalating material issues to appropriate resolution
Lead investigation intake processes, including triage, case documentation, and whistleblower report handling, coordinating with Legal and HR on escalated conduct matters and cross-functional compliance projects
Lead COI monitoring and maintain full oversight of conflicts disclosures, flagging anomalies and driving escalations to resolution
Identify and resolve complex compliance issues across program areas, develop practical solutions, and escalate with documented rationale
Manage compliance workstreams - policy drafts, program assessments, control builds, and gap analyses - driving them to completion and proposing process improvements along the way
Drive adoption of AI and automation to enhance review quality, reduce manual effort, and scale program coverage across compliance workflows
Own governance reporting across the Compliance & Ethics function - including KPI/KRI tracking, and senior leadership updates
Develop and guide team members across compliance workflows, program operations, and platform tools

What We Look For In You

6+ years of experience in compliance, surveillance operations, or legal at a financial services, fintech, or crypto firm
Hands-on experience with eComms surveillance platforms
Deep proficiency in compliance frameworks, policies, and regulatory requirements - you apply them independently and advise others
Proven ability to build and scale compliance programs in a fast-moving environment with limited structure
Strong operational instincts - you execute independently, drive complete projects, and keep programs moving without direction
Ability to identify complex compliance issues and develop practical, risk-based solutions
Track record of developing team members and elevating the work of those around you
Strong written communication for case documentation, escalation reporting, and governance materials

Nice to Haves

Experience in crypto or digital assets
Experience with AI-assisted review workflows or compliance automation tools
Exposure to regulatory requirements governing eComms surveillance - CFTC, FCA, MAS, ASIC, or equivalent
Familiarity with internal investigations, COI monitoring, conflicts register management, or OBA review processes
Prior experience in a compliance function being built or scaled from the ground up

Perks & Benefits

Competitive total compensation package
L&D programs and Education subsidy for employees' growth and development
Various team building programs and company events
More that we love to tell you along the process!

The salary range for this position is $143,000 - $214,000
The salary offered depends on a variety of factors, including job-related knowledge, skills, experience, and market location. In addition to the salary, a performance bonus and long-term incentives may be provided as part of the compensation package, as well as a full range of medical, financial, and/or other benefits, dependent on the position offered. Applicants should apply via OKX internal or external careers site.

Notice:

All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website.

Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.

About OKX

OKX Careers

There has never been a more opportune time to join the dynamic team at OKX—the forefront of innovation in the digital asset exchange market.

Work You’ll Do

Join OKX's market-leading team to assist some of the most sophisticated and forward-thinking traders in mastering the fast-paced world of cryptocurrency trading and investment. Transform the landscape of digital finance with the brightest minds at OKX, where innovation meets deep industry expertise in a culture of diversity and leadership. Lead from a unique position in the marketplace, at the nexus of technology, financial expertise, and digital innovation. Work with a global team of business and technology advisors to help clients and the company navigate through the complexities of digital finance. Collaborate with a dedicated group of professionals in an environment where career growth and opportunities are abundant.

Introducing the OKX Professional Growth and Opportunities

The team is building a market-leading position to help drive the future of digital finance, offering job opportunities that foster professional and personal growth.

Do Innovative Work

Join one of the most innovative teams in the financial technology sector, engaging in projects that push the boundaries of what is possible in digital transactions.

Drive Innovation and Leadership

Deliver targeted solutions on a trusted platform through a depth and breadth of experience and innovation that’s second to none.

Be Part of a Great Team

Engage in a wide range of projects utilizing cutting-edge technology and harness the unparalleled capabilities, global scale, and joint solution development of a powerhouse team.

Future-proof Your Career

Advance your career with limitless opportunities in a company that supports unmatched training, development, and certification support.

Explore

Discover how OKX is leading the way in blockchain technology and cryptocurrency exchange solutions, providing robust tools for trading, risk management, and investment.

The OKX Leadership and Innovation Edge

The combined service capabilities, global scale, and joint solution development help clients and the company overcome challenges and lead transformation in the digital finance industry. Clients worldwide look to OKX for new strategies and solutions to drive growth and innovation in the digital era.

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