Manager, Broker-Dealer Compliance Montgomery, AL

Manager, Broker-Dealer Compliance – Montgomery, AL. The Institutional Compliance team supports the Institutional Product Group to develop effective compliance programs to meet regulatory obligations across Coinbase's business.

• Provide senior compliance oversight to all aspects of CCM, including trading, reporting, policies, procedures, and training.
• Coordinate closely with cross‑functional partners in Legal, Operations, Risk, Tax, Finance and Audit to ensure a best‑in‑class control framework.
• Partner with exam management team to respond to all regulatory exams and inquiries.
• Work with Market Surveillance team and Clearing Firm to ensure deployment of a robust monitoring program.
• Work with the principals to design and document the firm’s supervisory structure (FINRA Rule
  3110) to effectively supervise all business activities and associated persons.

• 7+ years experience working in a retail broker‑dealer compliance team.
• Comfortable working in a fast‑paced environment with high levels of accountability.
• Experience with FINRA exams/inquiries.
• Knowledge of 15c3‑5 Market Access, Best Execution, and CAT reporting.
• Experience setting up broker‑dealer compliance programs, or at least parts of programs.
• Experience with institutional and retail customers.

• Experience supporting a retail (fully disclosed) introducing broker.
• J.D., Series7, Series
  24.
• Experience working at FINRA.
• Crypto experience or willingness to learn.

Full‑time offers include bonus eligibility, equity eligibility, medical, dental, vision, and 401(k).

Annual salary range: $162,010–$190,600 USD (based on work location).

Coinbase is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law.

Coinbase is also committed to providing reasonable accommodations to individuals with disabilities.