Full-Time Chief Compliance Officer
Plume Network is hiring a remote Full-Time Chief Compliance Officer. The career level for this job opening is Experienced and is accepting USA based applicants remotely. Read complete job description before applying.
Plume Network
Job Title
Chief Compliance Officer
Posted
Career Level
Full-Time
Career Level
Experienced
Locations Accepted
USA
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Job Details
Company OverviewPlume Network Inc. is seeking a broker-dealer license in connection with extending its digital real-world asset infrastructure to US customers. As the Chief Compliance Officer, you will build and administer the compliance architecture for the US gateway to a universe of onchain RWAs.
Job SummaryThe Chief Compliance Officer (CCO) will lead Plume’s broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies.
Key Responsibilities
- Develop, implement, and maintain comprehensive compliance policies, procedures, and controls.
- Assist in drafting and negotiating materials in connection with Form BD submission.
- Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities.
- Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues.
- Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program.
- Ensure compliance with transfer agent-specific regulations.
- Provide compliance training and guidance to employees.
- Manage regulatory examinations, inquiries, and filings.
- Collaborate with senior management to integrate compliance considerations into business strategies.
- Investigate and resolve compliance-related incidents.
- Maintain accurate records of compliance activities.
- Stay abreast of industry best practices and emerging risks.
Qualifications
- Bachelor's degree in Finance, Business, Law, or a related field; advanced degree preferred.
- Minimum of 5 years of experience in compliance roles within the financial services industry.
- Active FINRA Series 7 and Series 24 licenses required.
- Solid understanding of SEC and FINRA rules.
- Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions.
- Strong analytical, problem-solving, and communication skills.
- Proficiency in compliance software and tools.
- High ethical standards.
Preferred Experience
- 7+ years in compliance, including supervisory or leadership roles.
- Additional FINRA licenses such as Series 4 or Series 14 are a plus.
- Demonstrated experience with digital asset regulations.
- Experience with risk management frameworks and data analytics for compliance monitoring.
- Familiarity with SEC transfer agent regulations.
FAQs
What is the last date for applying to the job?
The deadline to apply for Full-Time Chief Compliance Officer at Plume Network is
6th of December 2025
. We consider jobs older than one month to have expired.
Which countries are accepted for this remote job?
This job accepts [
USA
] applicants. .
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