The Compliance Senior Associate will support the firm's regulatory compliance program by managing e-communication surveillance, due diligence, and risk assessments. They will also assist in maintaining the compliance manual, preparing for regulatory inquiries, and documenting committee governance.
About the company
Hi, we're Ondo Finance. Our mission is to provide institutional-grade, blockchain-enabled investment products and services. We have both a technology arm that develops decentralized finance technology, and an asset management arm that creates and manages tokenized funds. We were the first company to tokenize exposure to US Treasuries, and have since expanded into several other assets. We are also focused on incubating protocols that can support both tokenized real-world assets and traditional crypto.
Founded by folks from Goldman Sachs Digital Assets Team, we’re backed by some of the best investors in the world including Founders Fund, Coinbase Ventures, Pantera Capital, Tiger Global, and more. We are currently the leaders in the space in terms of AUM and are well capitalized to continue growing the firm. We're fully remote, with team members across the U.S.
About the Role
We are seeking a detail-oriented and proactive Compliance Senior Associate to join our Compliance team. This role supports the Firm's regulatory compliance program by assisting with e-communication surveillance, due diligence, risk assessments, regulatory examinations, and governance processes. The ideal candidate has a strong foundation in AML/BSA, KYC, and OFAC compliance within financial services, and is comfortable working across a broad range of compliance functions in a fast-paced environment.
Responsibilities
Assist with the Firm's e-communication archiving reviews to monitor and ensure adherence to firm policies.
Provide input on and help complete Due Diligence Questionnaires (DDQs) and Requests for Proposals (RFPs).
Complete weekly, monthly, and quarterly compliance checklists in a timely and accurate manner.
Help maintain and update the Firm's compliance manual to reflect current policies and regulatory requirements.
Assist in the preparation of risk assessments, annual reviews, and vendor reviews.
Support the Firm's responses and documentation requests related to regulatory inquiries, third-party examinations, and internal audits.
Help maintain governance around relevant committees, including scheduling, preparing materials, and documenting meeting notes.
Requirements
5+ years of experience in KYC, AML, or compliance operations within financial services or fintech.
Deep knowledge of AML/BSA regulatory requirements, risk-based customer due diligence, and OFAC sanctions compliance.
Strong ability to analyze situations for compliance and business risk, and to implement effective solutions to address and mitigate such risk.
Excellent organizational skills with strong attention to detail and the ability to manage multiple deadlines simultaneously.
Strong written and verbal communication skills, with the ability to work cross-functionally and interact with regulators, auditors, and internal stakeholders.
Preferred: 2+ years of prior financial services compliance experience within a Broker-Dealer (B/D) or Registered Investment Adviser (RIA).
What we offer
Competitive compensation including but not limited to salary, future token rights, and/or equity (according to your preferences) — We are well-funded and believe that great talent deserves great compensation.
Full benefits (medical, vision, and dental) and flexible vacation policy (PTO).
Remote-first team across many countries — You will be an early team member helping shape our vision, culture, and design practices.
A+ colleagues — Our team includes alumni from: Goldman Sachs, Blackrock, Two Sigma, Bridgewater, SpaceX, AWS, Meta, Google, McKinsey, Circle, Uniswap.
Best-in-class investors — We are proud to be backed by leading crypto experts and VCs, including Pantera Capital, Founders Fund and Coinbase Ventures.
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