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DriveWealth is a global B2B fintech platform democratizing access to financial markets through an API-based infrastructure. The company enables partners to offer seamless investing and trading experiences worldwide, supporting US equities, mutual funds, ETFs, fixed income, and options trading.
This VP-level compliance role leads the firm's expansion into futures commission merchant (FCM) registration, prediction markets (via partnership with Kalshi), and stablecoin/tokenization initiatives. Reporting to the Chief Compliance Officer, you will build and scale a compliance program from the ground up, managing regulatory obligations across CFTC, NFA, and emerging digital asset frameworks.
Key responsibilities include:
**Program Leadership & Team Building**: Establish the compliance function supporting FCM registration, NFA membership, and stablecoin initiatives. Hire and develop staff as the business scales. Manage competing workloads across multiple regulatory workstreams and project deadlines.
**Regulatory Strategy & Advisory**: Provide expert guidance on CFTC and NFA rules governing futures commission merchants, prediction market contracts, and stablecoin issuance, custody, and tokenization. Advise business units on regulatory obligations tied to new products and rule proposals. Design and implement compliant frameworks aligned with CFTC, NFA, state money transmitter, and emerging stablecoin regulatory regimes (e.g., GENIUS Act).
**Policy & Governance**: Develop and maintain Written Supervisory Procedures (WSPs) for FCM operations and internal policies governing stablecoin reserves, redemption mechanics, and tokenized asset custody.
**Monitoring & Surveillance**: Perform Level 2 compliance reviews of prediction market and stablecoin activity in early stages, transitioning to supervisory oversight as the team grows. Enhance surveillance frameworks covering event contract trading patterns and stablecoin transactions. Review and approve detailed reports and investigations prepared by staff.
**Cross-Functional Collaboration**: Partner strategically with Kalshi and other prediction market venues, stablecoin/tokenization technology partners, Financial Crimes, business management, risk, and technology teams to ensure sound operations.
This is a build role ideal for a leader with direct experience navigating CFTC/NFA compliance, prediction market regulation, and digital asset frameworks. The role offers the opportunity to shape compliance infrastructure at a fintech platform expanding into emerging asset classes.
