Manager, Broker-Dealer Compliance

Ready to be pushed beyond what you think you’re capable of?

At Coinbase, our mission is to increase economic freedom in the world. It’s a massive, ambitious opportunity that demands the best of us, every day, as we build the emerging onchain platform — and with it, the future global financial system.

To achieve our mission, we’re seeking a very specific candidate. We want someone who is passionate about our mission and who believes in the power of crypto and blockchain technology to update the financial system. We want someone who is eager to leave their mark on the world, who relishes the pressure and privilege of working with high caliber colleagues, and who actively seeks feedback to keep leveling up. We want someone who will run towards, not away from, solving the company’s hardest problems.

Our work culture is intense and isn’t for everyone. But if you want to build the future alongside others who excel in their disciplines and expect the same from you, there’s no better place to be.

While many roles at Coinbase are remote-first, we are not remote-only. In-person participation is required throughout the year. Team and company-wide offsites are held multiple times annually to foster collaboration, connection, and alignment. Attendance is expected and fully supported.

The Institutional Compliance team supports the Institutional Product Group to develop effective compliance programs to meet Coinbase’s regulatory obligations across the business. This role will provide critical support to Coinbase Capital Markets (“CCM” a FINRA member broker-dealer) in meeting its regulatory obligations to assist the Product team in developing a successful equities product offering*.*

What you’ll be doing (ie. job duties):

• Providing senior compliance oversight to all aspects of CCM, including trading, reporting, policies and procedures and training.

• Coordinate closely with cross functional partners in Legal, Operations, Risk, Tax, Finance and Audit to ensure a best-in class control framework.

• Partner with exam management team to respond to all regulatory exams and inquiries.

• Work with Market Surveillance team and Clearing Firm to ensure deployment of a robust monitoring program.

• Work with the principals to design and document the firm's supervisory structure (FINRA Rule 3110) to effectively supervise all business activities and associated persons.

What we look for in you (ie. job requirements):

• 7+ years experience working in a retail broker-dealer compliance team.

• Comfortable working in a fast-paced environment with high levels of accountability.

• Experience with FINRA exams/inquiries.

• Knowledge of 15c3-5 Market Access, Best Execution and CAT reporting.

• Experience setting up broker-dealer compliance programs, or at least parts of programs.

• Experience with institutional and retail customers.

Nice to haves:

• Experience supporting a retail (fully disclosed) introducing broker.

• J.D., Series 7, Series 24.

• Experience working at FINRA.

• Crypto Experience or willingness to learn.

Job P74168

#LI-Remote

Pay Transparency Notice: Depending on your work location, the target annual salary for this position can range as detailed below. Full time offers from Coinbase also include bonus eligibility + equity eligibility**+ benefits (including medical, dental, vision and 401(k)).

Pay Range:

$162,010—$190,600 USD

Please be advised that each candidate may submit a maximum of four applications within any 30-day period. We encourage you to carefully evaluate how your skills and interests align with Coinbase's roles before applying.

Commitment to Equal Opportunity

Coinbase is proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, creed, gender, national origin, age, disability, veteran status, sex, gender expression or identity, sexual orientation or any other basis protected by applicable law. Coinbase will also consider for employment qualified applicants with criminal histories in a manner consistent with applicable federal, state and local law. For US applicants, you may view the Employee Rights and the Know Your Rights notices by clicking on their corresponding links. Additionally, Coinbase participates in the E-Verify program in certain locations, as required by law.

Coinbase is also committed to providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please contact us at accommodations[at]coinbase.com to let us know the nature of your request and your contact information. For quick access to screen reading technology compatible with this site click here to download a free compatible screen reader (free step by step tutorial can be found here).

Global Data Privacy Notice for Job Candidates and Applicants

Depending on your location, the General Data Protection Regulation (GDPR) and California Consumer Privacy Act (CCPA) may regulate the way we manage the data of job applicants. Our full notice outlining how data will be processed as part of the application procedure for applicable locations is available here. By submitting your application, you are agreeing to our use and processing of your data as required.

AI Disclosure

For select roles, Coinbase is piloting an AI tool based on machine learning technologies to conduct initial screening interviews to qualified applicants. The tool simulates realistic interview scenarios and engages in dynamic conversation. A human recruiter will review your interview responses, provided in the form of a voice recording and/or transcript, to assess them against the qualifications and characteristics outlined in the job description.

For select roles, Coinbase is also piloting an AI interview intelligence platform to transcribe and summarize interview notes, allowing our interviewers to fully focus on you as the candidate.

The above pilots are for testing purposes and Coinbase will not use AI to make decisions impacting employment. To request a reasonable accommodation due to disability, please contact accommodations[at]coinbase.com