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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive compliance expertise in SEC-registered transfer agent operations, including ownership of the 17Ad rule set, AML policies, and regulatory positions. Capable of overseeing examination readiness, suspicious activity reporting, and compliance with financial crime prevention procedures.
Highest-signal resume keywords
Senior Compliance ExperienceOwnership Of 17Ad Rule SetDesignated AML Officer ExperienceSEC Examination PreparationForm TA-1 And TA-2 Lifecycle Management
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance OversightSuspicious Activity ReportingRegulatory Position WritingInternal Accounting Control StudyTransaction MonitoringCustomer Identification ProgrammeAML Policy DevelopmentRisk AssessmentRegulation S-P ComplianceWhistleblowing Channel Management
Soft Skills
Strong Written CommunicationJudgementAttention To DetailAdaptabilityIntellectual Honesty
Tools & Technologies
Bank Secrecy ActFinCEN ReportingDigital AssetsDLT-Based SettlementVerifiable Credentials
Certifications & Qualifications
Eligible For FBI Criminal History Record Check
Industry Keywords
SEC ComplianceTransfer AgentFund AdministratorFinancial Crime PreventionNo-Action ReliefExemptive ReliefOperational ProcessingOffshore Provider OversightTokenised SecuritiesCompliance Control
About the role
Key responsibilities & impact- Own compliance for ZILO’s registered transfer agent in the United States
- Own Section 17A and 17Ad compliance and the registrant’s standing with the SEC
- Serve as designated anti-money laundering officer, owning the Bank Secrecy Act programme, customer identification programme and suspicious activity reporting
- Set the compliance standard for the US line and write regulatory positions relied upon by the registrant
- Own SEC transfer agent registration and the Form TA-1 and TA-2 cycle
- Maintain written supervisory procedures aligned with actual operations
- Own SEC examination readiness, including records, walkthroughs, control evidence and examiner narrative
- Own the annual Rule 17Ad-13 internal accounting control study and evaluation, including the technology layer
- Own the custody and activity perimeter position
- Own AML policy, risk assessment, procedures, training and independent testing coordination
- Investigate, decide and file suspicious activity reports with FinCEN
- Oversee customer identification, ongoing due diligence, and sanctions and PEP screening for US investors
- Oversee transaction monitoring across fiat and digital asset legs
- Own wallet freeze and unfreeze positions when financial crime triggers arise
- Own compliance with the 17Ad rule set, Regulation S-P, conflicts, financial crime prevention procedures and whistleblowing channel
- Map and monitor conditions attached to no-action and exemptive relief
- Provide second-line challenge to UK-hub operational processing for the US line
- Own compliance oversight of external service providers
- Report to the COO, ZILO US board and fund board on compliance and financial crime matters
Requirements
What you’ll need- Senior compliance experience in a US SEC-registered transfer agent, fund administrator or comparable registrant, with direct ownership of the 17Ad rule set
- Direct experience of SEC examination, including preparing a registrant for one and responding to findings
- Prior designated AML officer experience under the Bank Secrecy Act, including SAR filing decisions
- Experience owning Form TA-1 and TA-2 and the registration lifecycle
- Experience of the annual internal accounting control study under Rule 17Ad-13
- Judgement to form and defend a written regulatory position on a novel model, and to say when a position is not defensible
- Strong written communication
- Eligible to be fingerprinted and submitted for an FBI criminal history record check through an approved channeler under Rule 17f-2, as a condition of appointment
- Exposure to tokenised securities, digital assets or DLT-based settlement, and to the transfer agent versus clearing agency boundary question
- Familiarity with verifiable credentials or on-chain eligibility enforcement as a compliance control
- Experience of a transfer agent registration from a standing start
- Experience overseeing an offshore or intra-group operational provider from a US registrant
- Legal qualification or prior regulatory experience
- Regulatory accountability, independence, intellectual honesty, capacity awareness, attention to detail, adaptability and clear communication
Benefits
Comp & perks- Comprehensive US benefits package including medical cover
- 401(k) plan
- Paid time off
- US public holidays
- Competitive base salary (amount not specified)