Compliance Officer

| Denver

SALT Blockchain Asset Management, LLC is a startup hedge fund which operates an onshore and offshore fund structure along with separately managed accounts. Loans facilitated through the SALT Lending Platform are underwritten and issued, in part, by limited partners under the control of the asset manager. The asset manager is a wholly-owned subsidiary of SALT Lending Holdings, Inc. (SaltLending.com), which operates a platform that connects borrowers and investors.

 

The Compliance Officer will work closely with the marketing team and investment professionals within the Firm. As such, the candidate must possess strong written and verbal communication skills.

 

Primary Responsibilities:

  • Continue the written development and implementation of the company’s compliance policies, procedures, ethics and surveillance practices.
  • Conduct testing in order to assess compliance with legal, regulatory, AML, KYC, lending and internal firm policy requirements.
  • Advise team members with respect to applicable regulatory requirements to ensure communication and disclosure is adequately designed to identify potential control gaps and non-compliance with laws and regulations.
  • Prepare reports to senior management detailing review findings and recommendations.
  • Maintain an awareness of, and monitor the regulatory environment for, emerging legislation and policy statements, along with relevant trends and industry best practices applicable to US and European broker dealer operations, through review of regulations and guidance issued by various federal and state regulatory agencies, publications and participation in industry associations.
  • Enforce, train and educate employees on Code of Conduct and Communication
  • Participate in internal and external audits

Preferred Candidate Experience:

  • Bachelor's Degree required
  • 5+ years of prior AML/Compliance experience with broker-dealer, investment advisor or asset manager required
  • Ability to work independently and proactively, and complete deliverables in a timely manner
  • Proficiency in Microsoft Office suite: Word, Excel, PowerPoint
  • Knowledge of FINRA, SEC, MSRB and state securities and lending laws and regulations is required.
  • Series 66, 7, 6 or Series 24 must be obtained within 6 months of hire

Job Type: Full-time

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Location

Downtown Denver
Denver, CO 80201

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