Head of Compliance

About the Role:

21.co is seeking a highly skilled, experienced, and ambitious candidate to join our growing Legal and Compliance team as Head of Compliance, reporting directly to our VP, Head of Legal.  As Head of Compliance, you will have overall responsibility for the design, implementation and effectiveness of compliance programs within the United States and management of the same across other jurisdictions.  Interest and experience in digital assets and blockchain technology is a plus.

What you will be doing:

• Ensuring the ongoing adoption, implementation, and management of policies, procedures, and controls to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act, and other applicable requirements, including those administered by the SEC, FINRA, CFTC, and the NFA
• Experience with the regulatory compliance obligations of a Registered Investment Adviser (RIA) and Commodity Pool Operator (CPO)
• Advising on AML/KYC requirements within the United States and internationally
• Appropriately and proactively identifying, evaluating, investigating and resolving compliance and risk issues/concerns
• Ongoing compliance testing
• Conducting or ensuring provision of compliance education and training of all staff
• Perform all firm regulatory filings and work with appropriate teams to obtain the data needed 
• Working with and monitoring any external parties in respect of any outsourced compliance functions 
• Responsible for employee form filings and licenses: (Series licensing and Form U4s)
• Participate in certain company Committees as required (e.g., risk committee)
• Performing electronic communications reviews
• Working with teams and advisers in other jurisdictions to apply local compliance & risk standards in a consistent and aligned manner
• Providing timely and high-quality compliance and risk advice to the business and functions, and ensuring business needs are being met

Desired Qualifications:

• 8+ years' experience in asset management compliance or consultancy
• Experience working within the SEC, FINRA, NFA, and CFTC regulated entities and investment companies
• Excellent knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 (along with related rules), and regulatory standards/best practices for U.S RIAs.
• Excellent interpersonal, presentation, written and oral communication skills including writing board materials and presenting at board meetings
• Ability to identify regulatory issues and work independently to develop solutions
• Ability to liaise with all levels of management
• Strong attention to detail and analytical skills

This role is based in New York City and will be expected to work from our New York office in a hybrid model Monday - Wednesday.

(NYC only) Pursuant to Section 8-102 of title 8 of the New York City administrative code, the base salary range for this role is $200,000 - $225,000.  This is a starting range, and the ultimate package will be based on experience. All encouraged to apply. Total compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years & depth of experience, certifications and specific office location. This may differ in other locations due to cost of labor considerations.