Manager, Broker-Dealer Compliance jobs in United States
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Coinbase · 3 weeks ago

Manager, Broker-Dealer Compliance

positionUnited States
timeFull-time
remoteRemote
seniorityMid, Senior Level
money$162K/yr - $191K/yr
date7+ years exp

Coinbase is a company focused on increasing economic freedom through its innovative onchain platform. The Manager, Broker-Dealer Compliance will provide senior compliance oversight to Coinbase Capital Markets, ensuring regulatory obligations are met while collaborating with various teams to develop compliance programs and monitor business activities.

BitcoinBlockchainCryptocurrencyFinTechTrading Platform
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Comp. & Benefits
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H1B Sponsor Likelynote

Responsibilities

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

Qualification

Broker-dealer complianceFINRA exams/inquiriesCompliance programs setupMarket Access knowledgeBest Execution knowledgeCAT reporting knowledgeInstitutional customer experienceRetail customer experienceCrypto experienceJ.D.Series 7Series 24Experience at FINRAFast-paced environment

Required

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

Preferred

Experience supporting a retail (fully disclosed) introducing broker
J.D., Series 7, Series 24
Experience working at FINRA
Crypto Experience or willingness to learn

Benefits

Bonus eligibility
Equity eligibility
Benefits (including medical, dental, vision and 401(k))

Company

Coinbase

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Coinbase is a crypto exchange and wallet platform that allows merchants and consumers to buy, sell, and store digital currencies.
dateFounded in 2012
location
San Francisco, California, USA
people-size1001-5000 employees
web-link
https://www.coinbase.com

H1B Sponsorship

Coinbase has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (181)
2024 (92)
2023 (96)
2022 (284)
2021 (183)
2020 (66)

Funding

Current Stage
Public Company
Total Funding
$4.45B
Key Investors
ARK Investment ManagementTiger Global ManagementIVP
2025-08-05Post Ipo Debt· $2.6B
2025-03-04Post Ipo Equity· $8M
2024-03-13Post Ipo Debt· $1.1B

Leadership Team

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Brian Armstrong
CEO & Co-Founder
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Alesia Haas
CFO
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Recent News

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Stablecoin yield fight threatens to sink CLARITY Act as Coinbase and White House clash
2026-01-18
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Coinbase CEO denies White House clash, says negotiations are ongoing
2026-01-18
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Coinbase CEO Says Banks Can 'Win Big' by Adopting Crypto Infrastructure
2026-01-18
Company data provided by crunchbase