Chief Compliance Officer

Responsibilities

• Maintain and enhance the compliance program, policies, and procedures for US spot trading, derivatives, and tokenized securities.
• Oversee AML/BSA/OFAC programs, including KYC onboarding, transaction monitoring, and SAR filing.
• Build and lead the broker-dealer compliance program from the ground up, including WSPs and supervisory controls.
• Serve as the primary compliance liaison with state and federal regulators (SEC, FINRA, CFTC, NFA).
• Establish and administer a CFTC- and NFA-compliant compliance program for derivatives trading.
• Manage regulatory examinations, inquiries, and enforcement matters.
• Build, manage, and mentor a high-performing US compliance team.
• Identify and manage regulatory risk arising from new products and business initiatives.

Requirements

• 12+ years of progressive compliance experience in US financial services in a senior or CCO-level role.
• Deep knowledge of SEC and FINRA rules applicable to broker-dealers.
• Working knowledge of CFTC and NFA requirements applicable to FCMs.
• Proven experience managing regulatory examinations with CFTC, NFA, SEC, FINRA, or FinCEN.
• Strong understanding of AML/BSA obligations and FinCEN regulatory requirements.
• J.D. or bachelor's degree in law, finance, business, or a related field.
• Willingness to obtain FINRA Series 7, 14, 24 and NFA Series 3 licenses.

Preferred Qualifications

• Experience in or deep familiarity with digital-asset or cryptocurrency exchange compliance.
• Prior experience at or with a Broker-Dealer, FCM, or similar institution.
• Active NFA Series 3 and/or FINRA Series 7, 14, 24 licenses.
• Experience supporting initial registration or licensing applications with US regulators.

About the Company

Bullish is an institutionally focused global digital asset platform that provides market infrastructure and information services. The ecosystem includes the Bullish Exchange, CoinDesk Indices, CoinDesk Data, and CoinDesk Insights, serving global institutions in the digital assets and traditional finance industries.