VP, Regulatory Operations - Digital Assets

Vice President, Regulatory Operations

Location:

New York, NY or Tampa, FL

Van Eck is building the infrastructure to distribute tokenized financial products  suite now spans tokenized treasuries, gold, money market funds, and tokenized ETFs, and the regulatory and operational complexity has grown with it. This role sits between what we want to build and the compliance work required to actually launch it.

The VP of Regulatory Operations will coordinate closely with our current Fin Ops principal on broker-dealer operations, own the KYC/AML framework for our onchain distribution, and advise the team on where regulation for tokenized securities is heading. Over time, the expectation is that this person qualifies for and steps into the Fin Ops principal role for the new digital asset broker-dealer.

The role also works closely with the existing CCO, who keeps primary responsibility for SEC engagement, and should be able to take on a larger leadership role as the business grows.

Core Responsibilities:

• Broker-Dealer Operations Work alongside our Fin Ops principal on day-to-day regulatory compliance and reporting for Van Eck's new digital asset broker-dealer entity (FINRA, SEC Rules 15c3-1 and 15c3-3), with a path to assuming the Fin Ops principal role. Manage the operational buildout of the BD in coordination with legal, finance, and product, covering supervisory procedures, books and records, and net capital calculations.
  
  Develop and maintain the policies and controls framework specific to the new BD's limited-purpose scope. Serve as the internal escalation point for BD-related compliance questions across the tokenization team.
• Regulatory Intelligence & Product Development Support Track the digital asset regulatory landscape across the SEC, CFTC, FinCEN, FINRA, OCC, and state regulators (NYDFS in particular), and translate what changes into practical product guidance. Advise on new product structures and distribution strategies under the current rules, flagging constraints and identifying workable paths forward. Work with legal and product teams on licensing requirements for new geographies (MTLs and foreign licenses relevant to APAC and EMEA distribution).
  
  Contribute to internal memos, board materials, and partner presentations requiring regulatory analysis.
• KYC / AML & Mass Distribution Compliance Build and own the KYC/AML framework for onchain product distribution, covering investor onboarding through transfer agents, centralized exchange platforms, and fintech distribution partners. Design controls that hold up  goal is mass retail distribution of tokenized products, so the KYC/AML infrastructure cannot become a bottleneck. Evaluate and implement blockchain analytics tooling for wallet screening, sanctions compliance, and transaction monitoring.
  
  Own the Travel Rule compliance process for onchain transfers and work with our transfer agent and custodians on investor identity flows. Serve as the primary internal resource on BSA/FinCEN obligations, OFAC/sanctions screening, and foreign investor restrictions relevant to our tokenized product suite.
• Cross-Functional Coordination Partner with Trading & Operations on settlement and custody processes specific to tokenized securities. Coordinate with our transfer agent and onchain data and digital transfer agency providers on investor onboarding, regulatory data flows, and reporting. Work alongside the Sales/BD team on CeFi and fintech distribution agreements, specifically on the compliance representations and structuring requirements embedded in partnership contracts.

Required Qualifications:

8+ years of experience in financial services compliance, regulatory operations, or legal roles, with meaningful exposure to broker-dealer regulation. Working knowledge of the Fin Ops function at a registered broker-dealer, whether through direct experience, close support of a Fin Ops principal, or managing the function. Series 27 is a plus but not required ong command of SEC financial responsibility rules (15c3-1, 15c3-3) and FINRA supervisory requirements.

Hands-on knowledge of AML/BSA obligations, KYC program design, and OFAC/sanctions screening in a financial services…