HomeAvailable CandidatesChief Compliance Officer

About the candidate

Full-time

On-site

United States

14+ years of Experience

Chief Compliance Officer

Experienced regulatory attorney, general counsel and chief compliance officer: over a decade of hands-on experience inbuilding, growing, optimizing and operationalizing regulatory, licensing, legal, compliance and risk management strategies for international companies in fintech, payments, digital assets and digital asset management. Expertise in BSA, OFAC Regulations, banking and money transmitter laws, SEC rules and regulations. Successfully developed and completed global licensing projects for several companies focusing on special purpose depository institution charter (SPDI), money transmitter licensing (MTL), institutional and consumer lending licensing, asset management and fund set up.

Experience

CCO/General Counsel – (Digital Asset Wealth and Asset Management, OTC Trading and Lending): 2021 – Present

  • Manages regulatory, licensing AML and compliance strategy of a US based digital assets platform with wealth management, OTC trading credit lending unregistered securities and other services
  • Created global regulatory strategy; identified multi-jurisdictional presence through license-backed approach in a number of US and foreign jurisdictions; Initiated and successfully lead the company through a multi-state and international licensing projects
  • Supported the regulatory and legal structure for several US and international digital asset funds
  • Completed corporate reorganization project to accommodate international licensing and jurisdictional requirements with consideration of SEC and other regulations applicable to the business
  • Built legal, compliance, AML, risk and operations, and Internal Audit teams

CCO/General Counsel – (Major CEX): 2019 – 2020

  • Developed and executed the BSA/AML Program for the US operations of¬†prepaid card compliance and operations
  • Created and executed U.S and Canada regulatory and licensing strategy and managed money transmitter and other license projects
  • Obtained licensure and bank relationships in Canada
  • Created strong and business-oriented compliance operations procedures and built global team of compliance managers and fraud analysts to execute the AML/BSA/OFAC and SEC Compliance Program
  • Maintained all U.S. policies and procedures for KYC, AML monitoring, CFPB, GLBA, CCPA, Privacy, SEC related regulations with respect to native assets

CCO/General Counsel & Director – (Financial Services Infrastructure): 2017 – 2020

  • Established the US operations of a London-based payments company offering Banking-as-a-Service, digital asset super-app, and other payment processing products globally
  • Created US and regulatory, licensing strategy and structure, executed on a multi-state licensing project
  • Obtained all US MTL licenses in 47 states in less than 12 months
  • Managed multiple state examinations, audits, built a compliance and AML team for monitoring, license support, KYB and BSA compliance

Interim CEO, General Counsel & Chief Compliance Officer – (Online Payments): 2015 – 2017

  • Served as Interim Chief Executive Officer to support a change of control process
  • Managed company operations in 52 U.S. states and territories
  • Successfully sustained operations during a 3-year acquisition transition and managed the US team consisting of Legal, Compliance Risk, Product, Sales, Marketing, Business Development, and Finance teams
  • Created, developed and scaled all US legal and compliance operations for a MSB registered with US Treasury FinCEN and licensed as a Money Transmitter in 52 US states and territories