Compliance Associate

Our client is a boutique over-the-counter brokerage firm headquartered in Miami, dedicated to providing spot liquidity in the digital asset markets. Working hours: 9 am to 5 pm EST
Hourly Rate: USD 15 As a Compliance Associate, you will be a key part of compliance operations and client success efforts to help the organization scale. This position is crucial to the development of the internal Compliance team, intending to streamline the firm’s internal and external processes, regulatory adherence, and risk management practices. You will be responsible for assisting with all aspects of the firm's day-to-day compliance operations and new client onboarding, including but not limited to Know Your Client (KYC), Know Your Transaction (KYT), Anti-Money Laundering (AML) procedures, and monitoring tasks for existing clients. The Compliance Associate will be in charge of documenting all aspects of the Company’s compliance program including reporting obligations under BSA regulations, compliance committee memos and external information requests as needed (such as Law Enforcement & 314(b)). The Compliance Associate will work closely with external stakeholders such as the Legal counsel, financial regulators, law enforcement, independent auditors, compliance software providers, compliance departments of other financial institutions and others (as needed). Responsibilities:

• Oversee the client onboarding process, ensuring all necessary documentation is received and verification completed according to company policy and regulations.
• Perform ongoing monitoring tasks for existing clients, ensuring that compliance regulations are met, including OFAC, International Sanctions, Adverse Media, On-Chain activity (KYT) and other risk factors.
• Liaise with institutional clients during onboarding to ensure proper data and document collection, such as gathering documentary evidence requests, running KYC/KYB profiles and ensuring timely and accurate information collection.
• Implement and manage CRM and compliance-related systems.
• Collaborate with Sales Traders to provide ongoing client requests and KYC-refresh management.
• Work closely with internal and external stakeholders to ensure regulatory compliance.
• Respond promptly to partners and external parties relating to the compliance function of the firm, including regulatory agencies, banking partners, law enforcement, independent auditors, compliance firms at allied firms and others.
• Handle bank, regulator, or other partner compliance due diligence requests.
• Assist in the development of materials for AML audits, manage relationship with independent auditors, make relevant changes based on the recommendations and findings provided by auditors
• Create and implement remediation plans for exam/audit findings and recommendations.
• Maintain up-to-date knowledge of compliance regulations and standards within the digital asset industry.
• Conduct investigations and aid the compliance team in determining outcomes to day-to-day compliance and risk management decisions.
• Prepare and submit materials for account applications at financial institutions
• Prepare compliance reports for Compliance Officer, Senior Management, and/or Board.
• Oversee, implement, update, and manage the firm's compliance policies and procedures, ensuring adherence to regulatory standards and internal guidelines.

Requirements: 

• At least 2 years’ experience in financial services compliance
• Finance/Economics/Legal or similar bachelor’s degree/equivalent (if no degree, additional years of experience ideal)
• Ability to apply US regulation standards (BSA, OFAC, FinCEN, FLOFR, Money Service Business Regulation)
• Ability to provide accurate, direct and practical advice in a timely fashion
• Ability to manage the flow of sensitive information
• Have a clear understanding of Compliance and risk management practices
• Must be comfortable interacting with different levels of business lines and senior management, and conducting presentations and training sessions
• Strong analytical and problem-solving skills along with the ability to exercise sound and balanced judgment.
• Strong critical thinking, problem solving, communication, organizational and decision-making skills
• Professional and detail-oriented demeanor
• Taking initiative in accomplishing tasks/reviews
• Detail oriented with the ability to assess and prioritize projects
• Excellent verbal and written communication skills
• Quick, efficient, highly organized and able to get up to speed rapidly
• Ability to multi-task
• Have a desire to be a key part of a growing organization

Preferred Skills:

• Master of Laws/Juris Doctor or equivalent degree a plus
• CAMS, CRCM, ACFCS, CFE or related compliance certification
• Proficiency with Compliance tools and systems (KYC/KYB, sanctions and watchlist checks and more), Regulatory reporting platforms and processes
• Knowledge of international regulatory and compliance standards pertaining to the digital asset industry and money service business industry

Training and Courses to be completed upon signing Job Offer:

• Orientation & role training
• Compliance training
• Internal Policies and Procedures: AML Policy, Compliance Manual, Trading Policies et

About 1840 & Company

1840 & Company is a global leader in Business Process Outsourcing (BPO) and remote talent solutions, dedicated to propelling businesses forward through our comprehensive suite of services. We specialize in connecting companies with world-class freelance professionals and delivering top-tier outsourcing services, across over 150 countries worldwide.

Our mission is to empower growth for forward-thinking businesses, seamlessly bridging any skill or resource gaps with our expertly vetted talent pool. We firmly believe in fostering an environment where exceptional individuals can achieve an optimal work-life balance, working remotely from any location, while maximizing their professional growth and earning potential.

We are headquartered in Overland Park, KS, USA with service delivery facilities in the Philippines, India, Ukraine, South Africa and Argentina. We invite you to explore the opportunities we offer and consider joining our exclusive network of global freelance talent. Visit to learn more about us. To explore a wealth of career opportunities and find a role that suits your unique skills and aspirations, please visit our dedicated jobs portal at  jobs.1840andco.com