Plume Network

Compliance Director

Remote (United States) · Director

Sponsorship not specifiedDetected 22 days ago

Data AnalysisLeadershipCommunicationProblem Solving

About the role

This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary liaison with regulatory bodies such as the SEC and FINRA.
The CCO will oversee compliance for both broker-dealer activities and transfer agent functions, including securities registration, transfer, and recordkeeping.
The CCO will concurrently serve as the AML/Compliance Director for KDAB, overseeing its DABA-licensed digital asset business AML/ATF program, transaction monitoring, sanctions screening, and reporting obligations to the BMA.

Develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume's public blockchain-based broker-dealer operations.
Collaborate with senior management to integrate compliance considerations into business strategies and product development, particularly in US digital asset offerings.
Maintain accurate records of compliance activities and prepare reports for the Board of Directors and executive leadership.
Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions.
As the Chief Compliance Officer for Plume's broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a universe of onchain RWAs.
Job Summary The 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.

Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).
Demonstrated experience with digital asset regulations and compliance challenges in the cryptocurrency or blockchain space.
Hands-on proficiency with blockchain analytics and investigations platforms such as Chainalysis or TRM Labs for onchain transaction monitoring, wallet screening, and source-of-funds tracing.
Experience with risk management frameworks and data analytics for compliance monitoring, including transfer agent-specific processes.
Blockchain analytics and investigations certification from a recognized provider (e.g., Chainalysis Reactor Certification (CRC) / Chainalysis Certified Investigator (CCI), or TRM Labs certification) required

Bachelor's degree in Finance, Business, Law, or a related field
advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred.
Minimum of 5 years of experience in compliance roles within the financial services industry, with direct exposure to broker-dealer operations preferred.
Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses required
Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred.
Preferred Experience 7+ years in compliance, including supervisory or leadership roles in a broker-dealer and transfer agency setting.
Additional FINRA licenses such as Series 4 (Registered Options Principal) or Series 14 (Compliance Official) are a plus.

Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports.

Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses.
Opportunities for professional development, including reimbursement for license maintenance and continuing education.

Company Overview Kimber Labs Inc. (dba "Plume Network Inc.") is seeking a broker-dealer license in connection with extending its digital real-world asset infrastructure to US customers.

This listing is sourced directly from Plume Network's careers page and normalized into a canonical job model.