Compliance Associate, Account Review

Summary

Join Gemini's Compliance team as an Associate, focusing on institutional account reviews. You will perform KYC refreshes, transactional analyses, and blockchain activity reviews to identify red flags. Collaboration with the Business Development team and other departments is crucial. This role requires a BA/BS degree, 3-4 years of financial services experience, and strong communication skills. Preferred qualifications include advanced degrees or certifications and familiarity with blockchain technology. Gemini offers a competitive salary, annual bonus, equity grant, comprehensive health plans, 401k matching, paid parental leave, and flexible time off.

Requirements

• BA/BS degree
• 3-4 years of experience in the financial services industry with a focus on transactional analysis, forensic accounting or other investigative functions
• Excellent written and verbal communication skills with a strong attention to detail
• Track record of success and results, ideally in a high-growth or entrepreneurial environment
• Flexible mindset and a willingness to roll up your sleeves and assist in various compliance functions as needed
• Previous experience performing KYC and periodic account reviews, including assessment of customer risk and transaction analysis
• Strong understanding of transaction pattern red flags

Responsibilities

• Perform periodic and trigger-based institutional account reviews inclusive of KYC refresh, transactional analysis, and reviews of customer blockchain activity to identify potential red-flags and escalate as appropriate
• Interface with the Business Development team to ensure high priority customer accounts are reviewed in a timely manner
• Assist with QA reviews
• Work cross-functionally with teams across the enterprise to address compliance related issues
• Ensure clear and concise customer communication during the RFI process
• Identify procedural inefficiencies and help develop and drive process improvements
• Perform ad-hoc special projects as required

Preferred Qualifications

• Advanced degree/certifications, e.g., JD, MBA, CAMS, CFE
• Working knowledge of digital asset trading and blockchain technology, including previous experience working with blockchain analytics tools
• Familiarity with Google Suite Applications
• Intermediate-level expertise in Microsoft Excel
• Comfort with an ever-changing regulatory landscape and fast-paced business environment

Benefits

• Competitive starting salary
• A discretionary annual bonus
• Long-term incentive in the form of a new hire equity grant
• Comprehensive health plans
• 401K with company matching
• Paid Parental Leave
• Flexible time off