Title: Vice President, Regulatory Operations
Location: New York, NY or Tampa, FL
About the Role
VanEck is building the infrastructure to distribute tokenized financial products at scale. Our suite now spans tokenized treasuries, gold, money market funds, and tokenized ETFs, and the regulatory and operational complexity has grown with it. This role sits between what we want to build and the compliance work required to actually launch it.
The VP of Regulatory Operations will coordinate closely with our current FinOps principal on broker-dealer operations, own the KYC/AML framework for our onchain distribution, and advise the team on where regulation for tokenized securities is heading. Over time, the expectation is that this person qualifies for and steps into the FinOps principal role for the new digital asset broker-dealer. The role also works closely with the existing CCO, who keeps primary responsibility for SEC engagement, and should be able to take on a larger leadership role as the business grows.
Core Responsibilities
Broker-Dealer Operations
• Work alongside our FinOps principal on day-to-day regulatory compliance and reporting for VanEck's new digital asset broker-dealer entity (FINRA, SEC Rules 15c3-1 and 15c3-3), with a path to assuming the FinOps principal role.
• Manage the operational buildout of the BD in coordination with legal, finance, and product, covering supervisory procedures, books and records, and net capital calculations.
• Develop and maintain the policies and controls framework specific to the new BD's limited-purpose scope.
• Serve as the internal escalation point for BD-related compliance questions across the tokenization team.
Regulatory Intelligence & Product Development Support
• Track the digital asset regulatory landscape across the SEC, CFTC, FinCEN, FINRA, OCC, and state regulators (NYDFS in particular), and translate what changes into practical product guidance.
• Advise on new product structures and distribution strategies under the current rules, flagging constraints and identifying workable paths forward.
• Work with legal and product teams on licensing requirements for new geographies (MTLs and foreign licenses relevant to APAC and EMEA distribution).
• Contribute to internal memos, board materials, and partner presentations requiring regulatory analysis.
KYC / AML & Mass Distribution Compliance
• Build and own the KYC/AML framework for onchain product distribution, covering investor onboarding through transfer agents, centralized exchange platforms, and fintech distribution partners.
• Design controls that hold up at volume. The goal is mass retail distribution of tokenized products, so the KYC/AML infrastructure cannot become a bottleneck.
• Evaluate and implement blockchain analytics tooling for wallet screening, sanctions compliance, and transaction monitoring.
• Own the Travel Rule compliance process for onchain transfers and work with our transfer agent and custodians on investor identity flows.
• Serve as the primary internal resource on BSA/FinCEN obligations, OFAC/sanctions screening, and foreign investor restrictions relevant to our tokenized product suite.
Cross-Functional Coordination
• Partner with Trading & Operations on settlement and custody processes specific to tokenized securities.
• Coordinate with our transfer agent and onchain data and digital transfer agency providers on investor onboarding, regulatory data flows, and reporting.
• Work alongside the Sales/BD team on CeFi and fintech distribution agreements, specifically on the compliance representations and structuring requirements embedded in partnership contracts.
Required Qualifications
• 8+ years of experience in financial services compliance, regulatory operations, or legal roles, with meaningful exposure to broker-dealer regulation.
• Working knowledge of the FinOps function at a registered broker-dealer, whether through direct experience, close support of a FinOps principal, or managing the function. Series 27 is a plus but not required at hire.
• Strong command of SEC financial responsibility rules (15c3-1, 15c3-3) and FINRA supervisory requirements.
• Hands-on knowledge of AML/BSA obligations, KYC program design, and OFAC/sanctions screening in a financial services context.
• Experience with digital assets, tokenized securities, or crypto-native financial products, whether at a crypto firm, a TradFi institution with a digital assets unit, or a regulator covering digital assets.
• Ability to read regulatory developments and turn them into concrete product and operational guidance, rather than only flagging risk.
Preferred Qualifications
• Prior experience at a crypto exchange or digital asset custodian, a tokenization or onchain infrastructure platform, or a digital asset-focused asset manager.
• Exposure to tokenized fund structures, RWA distribution frameworks, or blockchain-based transfer agency.
• Familiarity with international licensing regimes relevant to digital asset distribution (MiCA, MAS, SFC Hong Kong, FCA).
• JD or law degree with securities/regulatory focus.
• Experience advising on or building products in a limited-purpose broker-dealer structure.
Licenses & Certifications
Must Have
• CAMS (Certified Anti-Money Laundering Specialist) - Baseline credential for AML program ownership at an institution with our distribution ambitions.
Nice to Have
• Series 27 (FinOps Principal) - Not required at hire. The current FinOps principal remains in place; the expectation is that this person qualifies for and assumes the role over time.
• Series 24 (General Securities Principal) - Useful for supervisory authority over the BD's registered activities as the role expands.
• Series 7 / 63 - Useful for a broader understanding of the securities regulatory environment.
• Series 4 / 53 - Relevant if options or municipal securities scope is added later.
• CFCS (Certified Financial Crime Specialist) - Strong complement to CAMS for crypto-specific financial crime frameworks.
• CIPP (Certified Information Privacy Professional) - Relevant for handling investor identity data across onchain and CeFi distribution channels.
Compensation:
If this position will be performed in whole or in part in New York City, the base salary range is $200,000 - 250,000. Individual salaries may vary based on different factors including but not limited to, skills, experience, job-related knowledge, and location. Base salary does not include other forms of compensation or benefits offered in connection with this position.
