Lead, Compliance

Summary

Join Gemini's Compliance team as a Lead, Compliance (SAR Investigations) and lead a team of investigators responsible for critical functions within the Compliance and AML/BSA program. You will advise on the analysis and adjudication of escalated events, review and ensure high-quality SAR filings, file SARs with regulators, and leverage intelligence to enhance the Compliance program. This role involves frequent interaction with senior management, vendors, and the Chief Compliance Officer. You will contribute to and lead the development of new operations and controls within the Investigations Team. The position requires a BA/BS degree, 8+ years of relevant AML experience, subject matter expertise in BSA/AML regulations, and superior writing skills. 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 or international equivalent
• 8+ years of relevant AML-related work experience within the financial services, law enforcement, digital asset services, and/or management consulting space focusing on financial crime and counter-terrorism financing
• Subject matter expertise in BSA/AML regulations with specific focus on the drafting and preparing of US SAR filings
• Comfort in a technology-forward company and facility with computer and web-based applications, including Google GSuite, case management systems, and web-based databases
• Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
• Ability to work independently
• Authorization to work in the United States and fluency in English

Responsibilities

• Conduct investigations of customer activity to determine whether such activity warrants reporting or other action
• Review team escalations for SAR filings and ensure all SARs meet the high expectations driven by Gemini’s compliance-first ethos
• File Gemini US SARs, including providing SAR metrics with other compliance stakeholders on a regular and ad hoc basis
• Manage the SAR filing workflow to consistently meet regulatory and internally defined deadlines
• Advise compliance colleagues across the globe on suspicious activity trends observed in escalations
• Remain current with industry developments and new BSA/AML rules, regulations and guidance
• Contribute effective leadership to the Investigations team as an experienced professional and individual contributor, drawing on your diverse skills and knowledge-base to advise team members in their day-to-day responsibilities
• Gather information from escalations, different workstreams and sources to develop typologies and recommendations for control enhancements
• Balance numerous projects, queues and priorities in a fast-paced start-up environment

Preferred Qualifications

• Advanced degree/certifications, e.g., JD, CAMS, CFE
• Familiarity with virtual currencies, digital transfer platforms, analysis of trade data on an exchange, or blockchain tracing/analytics tools
• Intermediate-level expertise in Microsoft Excel or other database querying programs
• Comfort with an ever-changing regulatory and business environment
• Proven ability to proactively, efficiently, and accurately assess risks in a fast-paced environment
• Track record of creative problem-solving, excellent written and oral communication skills, and creation of strong and trusted cross-functional relationships
• Interest in building the future of compliance and an owner’s mindset to your work

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