• Deep knowledge of SEC, FINRA, CFTC, NFA, FinCEN, OFAC, and other relevant regulatory guidances or the ability to research, interpret and apply as required
• Experience working closely with Legal and Compliance partners and business unit leads to build V1 of new products and services for Anchorage Digital

Desirable

• As the Global Deputy Chief Compliance Officer, you are responsible for developing and overseeing the global compliance strategies for multiple Anchorage Digital entities and Compliance shared services, including but not limited to the trading, yield, settlement, staking, prime brokerage, lending businesses
• The Compliance Officer will also be responsible for overseeing and managing pending licensing applications with the NY Department of Financial Services, FINRA, and other jurisdictional regulatory agencies
• You are a compliance and financial crimes subject matter expert in brokerage services and compliance matters related to trading and lending to provide direct expertise and guidance to various entities in their initial phases to help them grow and mature
• You also contribute strategically across the Anchorage Digital enterprise in the development of compliance practices that support Anchorage Digital’s mission
• This includes direct oversight of the company-wide training, conduct, and complaints policies and programs, as well as the policies and procedures framework
• You have managerial oversight of the Anchor Labs Compliance team, which services primarily trading and brokerage related entities, with dotted line oversight of international compliance teams
• You also have managerial oversight of the Corporate Compliance Lead, whose day-to-day responsibilities include managing company-wide training, conduct, complaints, and policies and procedures programs
• You work closely with these teams to define priorities and team goals aligned with the Firm’s larger strategy, and ensure teams and team members are managed through accountability, performance management, and mentoring to help each team member to reach his/her full potential
• Applies deep and extended technical expertise of current regulatory, industry and emerging trends in crypto custody, settlement, trading and brokerage compliance as they apply to Anchorage Digital, to provide insights, guidance and technical leadership and to ensure compliance with relevant laws, rules and regulations
• Uses extensive knowledge of compliance best practices and design and is a key influencer across Anchorage Digital in the enterprise’s design of a target global operating model and implementation of effective controls to support Anchorage Digital’s various strategic initiatives
• Is internally recognized as an influential leader and is involved in the development of Anchorage’s strategic direction
• Ensures technical compliance and risk work is properly evaluated for important projects and advises on how to improve execution
• Key player and partner in helping business successfully grow and develop new business lines with the appropriate compliance programs, controls and procedures
• Leads and coaches successful teams by coaching, mentoring, motivating the team members while navigating unexpected roadblocks. Ensures on-time delivery, including meeting licensing / regulatory deadlines and commitments, and prioritizes effectively
• Identifies, influences, and/or resolves critical issues that may affect the direction of Anchorage Digital, including spotting and making the case for projects that span multiple teams, or inventing new or novel projects
• Works regularly with open-ended and ambiguous problems that have impact across Anchorage Digital, clients and/or profitability and significantly contribute to our global success which may include new technology. Exercises strong business judgment in using consultants or third-parties as appropriate to influence outcomes
• Exercises wide latitude in determining issues, objectives, approaches and guidance to critical compliance and regulatory matters that require an assessment of multiple intangible variables. Identifies and evaluates fundamental issues, providing strategy and direction for the trading and brokerage Compliance teams and other stakeholders to obtain results
• Anticipates factors that could influence Anchorage Digital’s global compliance strategies and Anchorage Digital’s position in the market and is accountable for results and implementing solutions with a longer term view that impacts multiple functions across Anchorage Digital
• Consistently demonstrates on-time delivery and high quality work product. Where a deadline or commitment is at risk, escalates to manager to help manage priorities, if appropriate, and alerts affected stakeholders so “no surprises.”
• Plays an active role in groups/forums that define the long-term strategy and value proposition of Anchorage Digital. Also develops the strategic direction for the Trading and international Compliance teams that connects the roles of the teams to the success of Anchorage Digital
• Uses effective communication skills and a variety of means to communicate the needs and strategic direction of Anchorage Digital. Collaborates effectively across teams and disciplines to solve problems and resolve technical debates
• Ensures alignment and integration between initiatives, priorities, people, processes and structures in your compliance functions, cross-departments and with the broader strategic priorities of Anchorage Digital
• Stays aware of changes through cross-functional collaboration to anticipate and prevent obstacles from hindering team performance
• Handles strategic communication with high profile interactions with regulators (SEC, FINRA, NYDFS) regarding non-Bank compliance matters for Anchorage Digital. Able to interact with regulators effectively, lead the discussions, and influence outcomes positively
• Articulates a clear strategy for the team, produces high quality output and execution, and communicates across the company effectively. This expressly includes clear, thoughtful, analytical and solutions-oriented communications, in high-impact slides/decks, written communications in slack or email, or verbal communications - all at a quality level expected of a senior leader
• Is able to perform attentive and active listening, to speak and empathize with others at all grades, adapting the speech to the audience, both internally and externally, applied to small or big audiences
• Is engaging, easy to approach and builds appropriate rapport, with diplomacy and tact, and recognized as a technical leader whose knowledge, ideas and critical thinking impact the strategic direction of Anchorage Digital
• Influences senior leaders on the strategy of other departments
• Ambassador and role model of our culture and values both internally and externally
• Creates formal networks with key decision makers and serves as an external spokesperson for Anchorage Digital
• Leads or has oversight over large, strategic, and complex areas within Compliance (prime brokerage, swaps, margins, derivatives) that have a clear impact on the success of Anchorage Digital, and works closely with and through managers to set team vision, mission, and strategy for positive impact to clients and processes
• Sets and redefines priorities, reorganizing resources as required to increase the capacity to respond to both internal and external demands. Evaluates the financial impact of decisions and develops strategies to address financial resource issues
• Appropriately involves others in decisions and plans that affect them, including setting the team vision, mission and strategy
• Works with managers to define team’s goals by clarifying and maintaining consistency with larger organizational goals. Makes team assignments within and outside the department to facilitate cross-functional work
• Provides meaningful feedback that improves the productivity of managers and senior individual contributors and teams, and oversees the activities of the Trading and Corporate Compliance team members
• Delegates autonomy to managers and team members in line with responsibilities of their roles and holds individuals accountable for agreed-upon commitments
• Mentors and coaches other senior team members or managers on strategy, influence, collaboration, execution, scaling their teams and other aspects of leaders
• Plans for the growth and scale of the non-Bank entities within the global operating model of Compliance
• Promotes group morale and productivity by being clear about output expectations