Senior Compliance Manager, Tokenized Securities Venue

OKX

. Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination .

Posted 11/2/2026full-timeRemote • California • United StatesSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive compliance expertise in SEC-regulated activities, with a strong focus on managing compliance programs, regulatory examination readiness, and effective communication with cross-functional teams. Proficient in blockchain-based trading mechanisms and the application of federal securities laws to ensure adherence to regulatory standards.

Highest-signal resume keywords

Compliance Program ManagementFederal Securities Laws KnowledgeBlockchain-Based Trading FamiliarityStrong Drafting SkillsExperience Reporting to Governance Bodies

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

SEC Exemption ComplianceRegulation ATSRegulation NMSKYC/KYB ProceduresTokenized Securities ManagementOn-Chain ScreeningMarket Manipulation RulesCompliance Program DevelopmentPublic Disclosure DraftingOperational Event Escalation

Soft Skills

Sound JudgmentCross-Functional CollaborationEffective Communication

Tools & Technologies

Self-Custodied WalletsSmart ContractsLiquidity PoolsDigital Asset Platforms

Certifications & Qualifications

JD or Similar Legal Background

Industry Keywords

Broker-Dealer ComplianceAlternative Trading SystemDigital Asset FirmOFAC Sanctions ProgramsTransfer Agents

About the role

Key responsibilities & impact

Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination
Manage the venue's public notice, including reviewing revisions, controlling versions, ensuring alignment with product functionality, and submitting corrections and material-change filings within required deadlines
Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date
Track and monitor TSV limits, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins
Escalate breaches, significant operational events and required SEC notifications
Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening
Keep wallet-to-participant records current and issue or revoke the soulbound token (SBT) credential granting access
Report to the OKXICE LLC Board of Managers and Americas Compliance leadership
Manage and develop a TSV Compliance Analyst

Requirements

What you’ll need

8+ years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC-regulated activity
Working knowledge of the federal securities laws that apply to trading venues, such as Regulation ATS, Regulation NMS and market manipulation rules, plus the ability to apply them to new market structures
Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions
Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening
Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures
Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones
Experience with tokenized securities, transfer agents or digital asset broker-dealers
Exposure to OFAC sanctions programs and blocked property handling for on-chain assets
Experience reporting to a board or joint venture governance body
A JD or a similar legal background

Benefits

Comp & perks

Competitive total compensation package
Various team building programs and company events
Wellness and meal allowances
Comprehensive healthcare schemes for employees and dependants