Overview Ready to be pushed beyond what you think you’re capable of? At Coinbase, our mission is to increase economic freedom in the world. It’s a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform — and with it, the future global financial system. We’re seeking a candidate who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. The work culture is intense and not for everyone. If you want to build the future alongside others who excel in their disciplines and expect the same from you, Coinbase is a place to be. While many roles at Coinbase are remote-first, we are not remote-only. In-person participation is required throughout the year. Team and company-wide offsites are held multiple times annually to foster collaboration, connection, and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective compliance programs to meet Coinbase’s regulatory obligations across the business. This role provides critical support to Coinbase Capital Markets in meeting its regulatory obligations to assist the Product team in developing a successful equities product offering. Job P74168. Commitment to Equal Opportunity notices and privacy information apply where applicable. What you’ll be doing Providing senior compliance oversight to all aspects of CCM, including trading, reporting, policies and procedures and training. Coordinate closely with cross functional partners in Legal, Operations, Risk, Tax, Finance and Audit to ensure a best-in-class control framework. Partner with exam management team to respond to all regulatory exams and inquiries. Work with Market Surveillance team and Clearing Firm to ensure deployment of a robust monitoring program. Work with the principals to design and document the firm’s supervisory structure (FINRA Rule 3110) to effectively supervise all business activities and associated persons. What we look for in you 7+ years experience working in a retail broker-dealer compliance team. Comfortable working in a fast-paced environment with high levels of accountability. Experience with FINRA exams/inquiries. Knowledge of 15c3-5 Market Access, Best Execution and CAT reporting. Experience setting up broker-dealer compliance programs, or at least parts of programs. Experience with institutional and retail customers. Nice to haves Experience supporting a retail (fully disclosed) introducing broker. J.D., Series 7, Series 24. Experience working at FINRA. Crypto Experience or willingness to learn. Pay Range: $162,010—$190,600 USD Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include bonus eligibility, equity eligibility and benefits (including medical, dental, vision and 401(k)). Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying. Commitment to Equal Opportunity Coinbase is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Employee Rights and Know Your Rights notices by clicking on their corresponding links. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law. Coinbase is committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site, you can download a free compatible screen reader. Global Data Privacy Notice for Job Candidates and Applicants: Depending on your location, GDPR and CCPA may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed is available here. By submitting your application, you are agreeing to our use and processing of your data as required. #J-18808-Ljbffr Coinbase
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