Senior Associate, Compliance (Investigations) at Gemini

| Greater NYC Area
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The Department: Compliance

Compliance at Gemini is a team dedicated to managing the next generation of financial crime prevention 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: Senior Compliance Associate, Investigations 

 In this role, you will work with a team of experienced investigators responsible for critical functions within the Compliance and the AML/BSA/Sanctions program. You will have responsibilities including, but are not limited to, performing Level 3 analysis and adjudication of escalated alerts, preparation of Suspicious Activity Report (“SAR”) filings, drafting subpoena responses and analysis, leverage intelligence gained from business-as-usual activities to develop enhancements to the Compliance program and other critical components/development of the compliance program that may arise from time to time. This position will have frequent interaction with firm senior management, third party vendors/auditors, and the Director of Investigations.

Gemini’s Compliance team is constantly evolving and developing new operations and controls. In this role, you will contribute to that development, while being an integral part of the Investigations Team.  

 

RESPONSIBILITIES: 

  • Manage and respond to subpoenas, law enforcement and regulatory requests, including occasional contact with law enforcement agents by phone or email. 
  • Conduct investigations of customer activity to determine whether such activity warrants reporting. 
  • Draft and prepare SAR filings. 
  • Gather information from different workstreams and sources to develop typologies and recommendations for control enhancements. 
  • Conduct customer outreach to gather additional information regarding customer activity. 
  • Balance numerous projects, queues and priorities in a fast-paced environment. 

 

MINIMUM QUALIFICATIONS: 

  • BA/BS degree or international equivalent.
  • 4-5+ years of relevant work experience within the financial services, law enforcement, digital asset services, and/or management consulting space focusing on financial crime and/or compliance.
  • Comfort in a technology-forward company and facility with computer and web-based applications, including Microsoft Office, case management systems, and web-based databases.
  • Substantial writing skills and ability to articulate effectively to senior management. 
  • Authorization to work in the United States and fluency in English.

 

PREFERRED QUALIFICATIONS:

  • Advanced degree/certifications, e.g., JD, MBA, CAMS, CFE.
  • Advanced knowledge of regulatory expectations and industry standards in relation to    AML/BSA/Sanctions regulations.
  • Experience drafting and preparing SAR filings.
  • Familiarity with subpoenas and the lifecycle of different law enforcement investigations. 
  • Familiarity with virtual currencies, digital transaction cycles or blockchain tracing/analytics tools.
  • Intermediate-level expertise in Microsoft Excel. 
  • Comfort with an ever-changing regulatory and business environment.
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Technology we use

  • Engineering
  • Product
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • ScalaLanguages
    • SqlLanguages
    • ReactLibraries
    • ReduxLibraries
    • PlayFrameworks
    • AeronFrameworks
    • PostgreSQLDatabases
    • ConfluenceManagement
    • JIRAManagement

Location

New York, NY 10010

An Insider's view of Gemini

What’s the vibe like in the office?

Before I started, I was told that taking a job at Gemini was a great idea because of how excited everyone was to be there. After working here for more than two years, I still believe that to be true. The office is constantly buzzing with incredibly smart people who are working to build Gemini into the long-lasting business we know it can be.

Marjorie

Director of Treasury Operations

How do you collaborate with other teams in the company?

A risk team is typically seen as a group that says "no”; at Gemini, establishing relationships and collaborating are key to understanding risks, which better enables us to say "yes" (or "yes, but..."). Communicating clearly and regularly, keeping things simple, and being flexible in a complex space reduces the risk of a message being lost.

Yusuf

Head of Risk

How do you empower your team to be more creative?

When we start a project, I challenge my team to look outside of the finance space, to take inspiration from other creative spaces such as art, industrial design, fashion, automotive, etc., and try to translate that into a solution for our industry and users. It's important to set the tone that solutions to problems can come from anyone or anywhere.

Ty

Creative Director

What are Gemini Perks + Benefits

Culture
Volunteer in local community
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Diversity
Dedicated Diversity/Inclusion Staff
Unconscious bias training
Diversity manifesto
Someone's primary function is managing the company’s diversity and inclusion initiatives
Diversity Employee Resource Groups
Hiring Practices that Promote Diversity
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Disability Insurance
Dental Benefits
Dental coverage for employees through Guardian PPO
Vision Benefits
Vision coverage through VSP
Health Insurance Benefits
Gemini's health insurance plan with our preferred provider Empire BCBS provides 3 plans, an EPO and 2 PPO at very little cost to employees!
Life Insurance
Wellness Programs
Retirement & Stock Options Benefits
401(K)
Gemini's 401(k) retirement plan through ADP offers a broad selection of stocks, bonds and international index funds to choose from.
401(K) Matching
Gemini's 401(k) matches an employee's contributions up to 5% of their base salary, with immediate vesting for matched contributions. Employees are eligible to contribute after 90 days of employment
Company Equity
Child Care & Parental Leave Benefits
Generous Parental Leave
Family Medical Leave
Company sponsored family events
We happily sponsor annual Take Your Child to Work Days.
Vacation & Time Off Benefits
Unlimited Vacation Policy
Gemini's unlimited PTO policy allows employees to take as many days off as they need, provided they get their manager's approval.
Paid Holidays
Paid Sick Days
Gemini is generous in adding sick days on an as-needed basis.
Perks & Discounts
Casual Dress
Commuter Benefits
We offer pre-tax commuter benefits for all employees through Navia.
Company Outings
We typically host quarterly company outings - past events include baseball games and Coney Island.
Stocked Kitchen
We keep our kitchens and pantries well-stocked with snacks, soft drinks, cold brew coffee, and, of course, LaCroix.
Happy Hours
We host monthly happy hours with collaborative activities like employee presentations, trivia, Mario Kart, etc.
Professional Development Benefits
Job Training & Conferences
Lunch and learns
Gemini hosts monthly Lunch and Learns
Cross functional training encouraged
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