Lumina is a digital assets prime dealer and financial platform. We’re on a mission to accelerate the mass adoption of digital assets by bridging the gap between traditional finance and crypto.
Today’s family offices and hedge funds face a number of challenges when it comes to trading and managing their crypto portfolios. On the trading front, siloed liquidity, opaque execution, and questionable compliance deter entry. On the management front, spreadsheet and manual workflows are still the de facto solution. These infrastructure and usability problems, which have been long solved in traditional finance, still need to be addressed in crypto. Lumina is solving these problems.
Lumina was founded by seasoned FinTech engineers who led the development of enterprise products like Addepar and Zenefits. We’re backed by Craft Ventures, David Sacks’ VC firm, Bain Capital Ventures, and members of the OKEx Group.
About the role
In line with our mission, Lumina is hiring a Chief Compliance Officer to help lay the groundwork of our future brokerage operations: a first in the space of digital assets.
- Lead compliance and regulatory initiatives
- Maintain overall compliance with relevant regulators and serve as primary contact for regulatory exams, inquiries, and audits
- Ensure all company operations and activities are compliant with local, state, and federal laws and regulations
- Partner with Product and Engineering to ensure compliance requirements are communicated and incorporated into the product development process.
- Advise business teams on compliance and risk considerations
- Act as a central point-of-contact for all internal compliance-related issues
- Proactively audit processes, practices and documents to identify weaknesses
- Help leadership drive strategic thinking and decision-making
- Oversee Anti-money laundering compliance program and ongoing change management.
- Establish and maintain regulatory reporting requirements.
- Provide oversight for the Customer Identification Program, KYC – Due Diligence process, AML Transaction Monitoring, AFC and OFAC Sanctions
- Coordinate and conduct compliance training for all employees for core areas.
- Current Series 7 and 24 licenses (or the ability to obtain within 3 months upon hire)
- Minimum 10 years of compliance experience with a broker-dealer or regulator
- Strong working knowledge of SEC and FINRA regulations
- A pragmatic, thoughtful, and technology-focused approach towards meeting compliance and business goals
- Excellent organizational and project management skills
- Ability to set and meet deadlines in a dynamic, fast-paced environment
- Strong interest in learning brokerage regulatory landscape overseas; prior working knowledge in Asian and European markets preferred
- Strong interest in the cryptocurrency space; prior experience in crypto preferred