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.

Overview:

The Head of Governance is a senior member of the Compliance Department with responsibility for overseeing all aspects of the Compliance program governance and oversight.  The Head of Governance manages a team of Compliance professionals with a responsibility for Compliance policies and procedures; annual risk assessment; quality assurance and testing programs; regulatory exams and audits; customer complaint process; and metrics across all facets of the Compliance program. This position reports directly to the Chief Compliance Officer and is full-time at Gemini’s offices in New York City.

Responsibilities:

• Drive the department’s execution of a global Compliance program, while accounting for regional differences and unique business needs
• Draft, maintain and globalize Compliance policies, including BSA/AML, Sanctions, and other areas of applicable regulatory compliance
• Enhance and maintain compliance risk assessments
• Oversee all aspects of employee Compliance training, including BSA/AML
• Oversee the execution of all aspects of the quality assurance and testing process for Compliance functions
• Design and implement parameters for Compliance key risk indicators for escalation to senior management and drive department-wide accountability
• Coordinate internal risk assessments (e.g. BSA/AML, risk and control self assessments) to evaluate adherence to departmental policies, audit requirements and regulatory obligations.
• Coordinate independent third-party testing of the Compliance program on a periodic basis.
• Manage internal audit and regulatory exam reviews, and spearhead timely remediation of action plans 
• Manage and oversee a team of Compliance Program Governance professionals 

Minimum Qualifications:

• Minimum of 12 years of experience building and operating various Compliance programs 
• Subject matter expertise involving federal banking regulations, NYSDFS regulations, and/or Bank Secrecy Act and implementing regulations
• Bachelor’s degree in a related field

Preferred Qualifications

• Strong knowledge of and interest in disruptive technology, financial services, or security; prior experience working in fintech, or advancements in digital assets or high-growth tech companies payments a plus.
• Proven ability to proactively, efficiently, and accurately assess risks in a fast-paced environment.
• Track record of creative problem-solving, excellent written and oral communication skills, and creation of strong and trusted cross-functional relationships.