Compliance Director

Plexus has digital asset infrastructure company building regulated market systems across broker-dealer, transfer agent, and onchain compliance functions. We’re seeking a Chief Compliance Officer to lead our end-to-end compliance program, including securities regulation, AML/KYC frameworks, and regulatory engagement with bodies such as the SEC and FINRA.

Responsibilities:

• Lead broker-dealer, transfer agent, and AML compliance programs
• Own policies, controls, filings, and regulatory reporting
• Oversee AML/KYC, monitoring, and investigations
• Manage regulatory exams and regulator relationships
• Advise on compliance across products and business initiatives

Requirements:

• 5+ years compliance experience in financial services
• Broker-dealer or securities experience preferred
• Strong knowledge of SEC/FINRA frameworks
• FINRA Series 7 and Series 24 required
• Experience with AML programs and regulatory reporting
• Strong communication and risk management skills