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Chief Compliance Officer, Digital Assets
WisdomTreeUS - Remote, United StatesRemotefull_timeVerifiedPosted 22 Jan 2024
About the role
WisdomTree is seeking a Chief Compliance Officer for a promising and exciting opportunity within the Digital Assets team. In this role, the person will serve as the Chief Compliance Officer for WisdomTree Digital Movement, Inc., a U.S. stated licensed money transmitter, and WisdomTree Digital Trust Company, LLC, expected to be licensed by the NY DFS, concerning WisdomTree’s digital assets, digital wallet and blockchain-related activities, including for retail-facing products and services.
The Chief Compliance Officer will provide leadership in the planning, development and implementation of policies, standards, and procedures specific to the needs of the digital asset and blockchain-enabled business lines, including the mobile application, WisdomTree Prime™, new products and services and as the business evolves beyond the United States. The role will develop and evolve compliance policy documentation and the control and governance infrastructure, including creating and overseeing a testing program in conjunction with the enterprise-wide compliance team, as well as serving as the lead point person for regulatory examinations and audits. Responsibilities will span advising on regulatory compliance matters, continuing to foster a culture of compliance across the organization, and ensuring the compliance program is consistent with evolving regulatory requirements and best practices.
About Us:WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain-enabled technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime™. Remote First:WisdomTree is a Remote-First organization headquartered in New York City. Employees will have the flexibility, and, subject to their position, may be required to report into the office on occasion. Mission, Vision & Values:WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment. Learn more at www.wisdomtree.com WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color
The Chief Compliance Officer will provide leadership in the planning, development and implementation of policies, standards, and procedures specific to the needs of the digital asset and blockchain-enabled business lines, including the mobile application, WisdomTree Prime™, new products and services and as the business evolves beyond the United States. The role will develop and evolve compliance policy documentation and the control and governance infrastructure, including creating and overseeing a testing program in conjunction with the enterprise-wide compliance team, as well as serving as the lead point person for regulatory examinations and audits. Responsibilities will span advising on regulatory compliance matters, continuing to foster a culture of compliance across the organization, and ensuring the compliance program is consistent with evolving regulatory requirements and best practices.
Success in this role would be achieved by:
- Owning and reinforcing a strong compliance culture, setting the tone from the leadership level, including at management meetings, for WisdomTree executive leadership and at Board meetings.
- Tailoring the compliance program to the unique needs of the digital asset/blockchain-enabled business.
- Driving compliance ownership through regular reviews and reporting, including to regulators.
- Collaborating with department heads to detect, manage and mitigate compliance risks.
- Collaborating with legal and risk areas and the broader U.S. and global compliance teams, including in policy development and monitoring for regulatory change and best practices.
- Performing policy and procedure testing and risk assessments, proactively identifying emerging compliance risks, and implementing mitigation programs.
Experience and required skill set:
- Bachelor’s degree from a 4-year college or university; master's degree, preferred.
- At least ten (10) years of professional experience in U.S. compliance, including compliance experience supporting retail-facing U.S. money transmitters, trust companies and/or banks.
- Prior close working relationship with NY DFS or other federal or state U.S. banking or similar U.S. regulators, including state regulators overseeing money transmitters.
- Proven experience directing and leading the implementation of key compliance initiatives, including ability to lead in-person meetings in New York, whether for exams, new product meetings and/or other regulatory check-ins.
- Understanding of digital assets, related regulatory environment and compliance/risk management considerations.
About Us:WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain-enabled technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime™. Remote First:WisdomTree is a Remote-First organization headquartered in New York City. Employees will have the flexibility, and, subject to their position, may be required to report into the office on occasion. Mission, Vision & Values:WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment. Learn more at www.wisdomtree.com WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color
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