The Department: Compliance

The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.

The Role:Head of Compliance, Gemini Galactic Markets, LLC

Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has
strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini's Global Chief Compliance Officer.

This role is required to be in person twice a week at our New York City, NY office.

Responsibilities:

• Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
• Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
• Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
• Supervise trade and market surveillance across the firm's securities and derivatives products
• Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
• Maintain the firm's AML program covering both broker-dealer and FCM activities
• Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
• Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
• Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
• Review and approve advertising, marketing, and sales materials

Minimum Qualifications:

• BA/BS degree
• Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
• 10+ years of securities and/or commodities regulatory compliance experience
• Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
• Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
• Comfort working in a technology-forward environment
• Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
• Authorization to work in the United States and fluency in English

Preferred Qualifications:

• Advanced degree/certifications, e.g. JD, MBA
• Familiarity with virtual currencies, digital transfer platforms, ATS
• Strong cross-functional collaboration skills
• Interest in building the future of compliance and an owner's mindset to your work
• Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm

It Pays to Work Here

The compensation & benefits package for this role includes:

• Competitive starting pay
• A discretionary annual bonus
• Long-term incentive in the form of a new hire equity grant
• Comprehensive health plans
• 401K with company matching
• Paid Parental Leave
• Flexible time off

Salary Range: The base salary range for this role is between $150,500 - $215,000 in the State of New York, the State of California and the State of Washington. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate's compensation, we consider a number of factors including skillset, experience, job scope, and current market data.

In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce.

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