Director, Compliance Program Governance 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.


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.
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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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