Regulatory Compliance Specialist

3 days ago

Tampa, Florida, United States Uphold Full time
Unlocking the Potential of Web3 Finance

Founded in 2013, Uphold is a leading Web3 financial platform supporting almost 300 digital assets. We act as a Regulated Gateway to the Web3 economy, featuring integrations with 26 blockchain networks and a robust trading engine connected to 30 underlying venues.

Our platform enables users to trade Anything-to-Anything while enjoying keen pricing and deep liquidity. With over 120 million transactions worth $40 billion from 10 million customers in over 150 countries, we've transformed how financial value is held and transacted.

About the Role

As an Enterprise Onboarding Specialist, you'll contribute to the onboarding process across multiple work streams within the company. You'll collaborate with senior management and other internal stakeholders, as well as occasional interactions with external clients.

You'll support the second-line review of the Businesses activities to manage Compliance risks, ensure adherence to compliance controls, and oversee the Business as required.

  • Key Responsibilities:
  • Conduct thorough due diligence on Enterprise clients to assess their compliance with regulatory requirements, internal policies, and industry standards.
  • Review client documentation, including Know Your Customer (KYC) information, legal agreements, and other relevant materials.
  • Collaborate with internal stakeholders to obtain necessary information and approvals for client onboarding.
  • Act as a SME to senior stakeholders and/or other team members related to Enterprise Due Diligence processes and compliance requirements.
Requirements

To succeed in this role, you'll need:

  • A BA/BS or equivalent, advanced degree preferred.
  • CAMS, CFCS, or other relevant Compliance certification.
  • Minimum two years of financial services industry regulatory compliance experience, preferably at a crypto, banking, trading, payments, or fintech institution.
  • Strong knowledge of AML/OFAC, Bank Secrecy Act, USA PATRIOT Act onboarding requirements, and FinCEN Customer Identification Program (CIP) Guidance.
  • Experience of a Compliance Function and Compliance risks and processes.
  • Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
What We Offer

At Uphold, we offer:

  • An amazing work environment in a cutting-edge field, driven by extraordinary and passionate people who continue to innovate and challenge each day.
  • An international team working on fascinating projects.
  • Growth and career opportunities, with a chance to be proactive and creative.
  • A flexible and enthusiastic work environment that offers snacks, coffee, and great benefits.
  • An open and transparent culture where we share updates, strategic plans, and engage informally over food and drinks.
  • Interesting events that keep you connected with the team and celebrate our success.
Salary: $90,000 - $120,000 per year

We're proud to offer a competitive salary range based on location and experience. This role requires a minimum of two years of experience in financial services industry regulatory compliance. Our estimates suggest a salary between $90,000 and $120,000 per year.

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