Regulatory Compliance Manager (Palo Alto or New York City)

Regulatory Compliance Manager (CA & New York)

We are seeking an experienced Regulatory Compliance Manager to join our team and oversee critical compliance functions across our organization. This role requires expertise in both traditional finance and cryptocurrency regulations globally, with responsibility for managing regulatory relationships, examinations, and risk assessments.

Key ResponsibilitiesRegulatory Examination & Audit Coordination

• Prepare comprehensive examination and audit materials, responses, and presentations for regulatory reviews
• Coordinate personnel preparation for regulatory interviews and presentations
• Gather and organize required data for regulatory submissions
• Submit timely information and documentation to regulatory authorities
• Maintain detailed documentation of examinations, audits, inquiries, and follow-up actions

Risk Management & Assessment

• Conduct thorough compliance risk assessments by legal entity and subject matter
• Identify, analyze, and mitigate compliance risks across business operations
• Develop and implement risk management strategies and controls

Stakeholder & Regulatory Relationship Management

• Serve as primary liaison with regulatory authorities and agencies
• Collaborate and coordinate with internal and external stakeholders
• Prepare comprehensive internal compliance reporting
• Partner effectively with Internal Audit teams on compliance initiatives

Issue Management & Tracking

• Maintain organized calendar and scheduling system for compliance issues
• Provide regular reporting on issue status and resolution progress
• Document and track regulatory matters requiring ongoing attention
• Support issue owners in understanding validation expectations and requirements

Required Qualifications

• Bachelor's degree required; advanced degree strongly preferred
• 5-7 years of progressive compliance experience with increasing responsibility
• Comprehensive regulatory knowledge spanning both traditional finance (TradeFi) and cryptocurrency/digital asset regulations globally
• Strong analytical, communication, and interpersonal skills
• Proven ability to manage multiple priorities and meet regulatory deadlines
• Experience working with regulatory authorities and audit firms

Job Type: Full-time

Pay: $140,000.00 - $185,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Health insurance
• Relocation assistance

Work Location: In person