Head Of Compliance, Gemini Galactic Markets, Llc

Gemini Trust Company LLC

New York, New York, United States
Base: $150,500 - $279,500; bonus/equity: discretio...
On-site
Deep expertise in sec finra cftc nfa regulations
Hands-on experience building retail brokerage compliance programs
Supervisory and surveillance operations across securities and derivatives
Gemini is seeking a dynamic self-starter to lead the broker dealer and future commission merchant compliance program

Job Summary

  • Gemini is seeking a dynamic self-starter to lead the broker dealer and future commission merchant compliance program.
  • The role requires deep expertise across federal securities and commodities regulation with hands-on experience at a retail-facing brokerage.
  • The compensation package includes competitive starting pay, a discretionary annual bonus, long-term equity grants, and comprehensive health plans.

Matching Summary

Gemini is seeking a dynamic self-starter to lead the broker dealer and future commission merchant compliance program.

Salary

Base: $150,500 - $279,500; Bonus/Equity: Discretionary annual bonus and new hire equity grant; Benefits: Comprehensive health plans, 401K matching, paid parental leave, flexible time off

Skills & Requirements

Must-have

  • Deep expertise in SEC FINRA CFTC NFA regulations
  • Hands-on experience building retail brokerage compliance programs
  • Supervisory and surveillance operations across securities and derivatives
  • Customer segregation computations and financial reporting obligations
  • Primary point of contact for regulatory exams and inquiries

Nice-to-have

  • Familiarity with virtual currencies and digital assets
  • Experience with multi-registrant firm surveillance
  • Strong cross-functional collaboration skills
  • Owner's mindset to work and future of compliance
  • Comfort working in a technology-forward environment

Key Requirements

  • BA/BS degree required
  • Active FINRA Series 7, 63, and 24 licenses
  • NFA Series 3 license or ability to obtain within 120 days
  • 10+ years of securities and/or commodities regulatory compliance experience
  • Authorization to work in the United States

Work Rights

Authorization to work in the United States required

Tailored Resume

Cover Letter