Compliance Director, Deputy BSA Officer & Sanctions Officer - Americas

DEPARTMENT/ TEAM PURPOSE:  

The Compliance team is a collaborative and high energy group of smart, driven and intellectually curious professionals. 

We take our work but not ourselves incredibly seriously, tackling novel issues and supporting the business with focus, precision, and relentless good humor. We know and support each other deeply as professionals and humans. 

We proudly hold a range of passports and qualifications and speak as many languages as we have team members - diversity on all levels is deeply valued. 

ROLE PURPOSE:  

Copper is looking for a skilled and collaborative Compliance Director/Deputy BSA Officer – Americas to join our growing digital assets infrastructure business. 

This full-time role is based in New York with some occasional travel abroad. 

As a committed and experienced person you will assist with alignment and operationalization of the company’s regulatory policies and procedures for the Americas. 

You will help with the development and implementation of the compliance programme for the Americas, where your sound judgment on both commercial and risk & control matters will champion company culture and its regulatory agenda. 

KEY RESPONSIBILITIES:  

• Help to manage the Americas Compliance function including the inter group outsourcing arrangements for Transaction Monitoring, Compliance Advisory, AML / KYC (Operations) and other areas applicable to USA licenses and registrations. 
• Act as the designated Sanctions Officer, responsible for building and executing the Sanctions program. 
• Primary contact for all 314a and 314b requests 
• Help to manage the money laundering reporting process and implement specific steps within the compliance program to ensure effective implementation of the regulations and statutory requirements concerning Anti-Money Laundering (AML) and Combatting Terrorism Finance (CTF), standards and regulatory requirements. 
• Help to develop regular compliance and financial crime / AML monitoring procedures and practices for operations in the Americas.  
• Align Compliance controls framework to Americas Regulatory and Licensing framework. Assisting in the undertaking of the annual risk assessments of the Copper businesses, the related controls the businesses have in place or should develop and the Compliance controls which have been, or need to be, implemented. 
• Advise and support the Copper businesses globally on applicable law, rules, and regulation, including the development of responses to, and implementation of, new regulations. 
• Support and / or manage the coordination of all reporting and disclosures to key US and applicable regulators. 
• Monitor and interpret regulatory changes and developments to ensure the impact on the business is highlighted and assessed, and that any functional Compliance processes. 
• Contribute to product reviews and new product approval processes. 
• Create a cooperative culture both within the Compliance team as well with the business and other control functions. 
• Support for regulatory exams and independent audits, prepare data requests, narratives, and walkthroughs. 

SKILLS & EXPERIENCE 

• Extensive knowledge of and senior management experience in performing and managing compliance processes in the following: crypto, investment banking or hedge fund industries. 
• Excellent understanding of KYC/AML, sanctions & embargoes screening, payments, transaction / trade monitoring, general compliance aspects and outsourcing requirements. 
• Knowledge of (crypto, derivates, buy/sell side, funds, trading, technology) areas, including product suite, services, systems, and key risks. Experience with prime brokerage, collateral management, stock borrow lending is preferred; digital assets experience is essential.  
• Previous compliance oversight accountability, including hands-on experience, with US regulator regimes (SEC, DFS, OFAQ, OCC); an understanding of non-US regulatory requirements is an advantage. 
• Proven experience in the provision of Compliance leadership in digital asset / crypto business. Additional experience in Investment banking business / desk, hedge fund or similar business is an advantage.  
• An ability to interpret, understand and advise the business on a broad range of legal and regulatory issues, ability to analyse complex financing transactions and assess an array of compliance considerations including information barriers, suitability, and cross border risks. 
• Commercial awareness with the ability to make decisions that identify and consider risks specific to a growing business. Accomplished in negotiating, advising, and reviewing a broad range of compliance, risk and control matters. 
• Ability to support and defend difficult and complex regulatory and/or compliance decisions in a fast-paced environment. 
• A minimum of 10 years compliance working knowledge & experience gained from a leading financial services firm. Must be capable to work effectively within a fast-growth technology environment. 
• Experience of working with an increasing use of technology to deliver regulatory oversight, reporting and outcome.
• Calm and professional attitude, capable of dealing with senior management and board members.

Base Salary - $225,000 to $250,000

The benefits offered

In return for everything you can bring to Copper, we can offer you an exciting, challenging role in a fast-growing and dynamic business, with career opportunities and welcoming working environment.

If you think you have everything we're looking for and more, then we'd love you to apply for the opportunity.