Compliance Director

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      "role": "<meta><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><br></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><span style=\"white-space:pre-wrap;\">Plume Network Inc. is seeking a broker-dealer license in connection with extending its digital real-world asset infrastructure to US customers. Plume Network is a modular Ethereum-based blockchain platform specializing in real-world asset (RWA) tokenization and finance (RWAfi) Founded to bridge institutional finance and blockchain, it launched its mainnet in June 2025 and has rapidly grown to over $480 million in total value locked and Plume user wallets account for over 50% of RWA holdings across all public blockchains globally. Investors include Apollo Global Management, Brevan Howard Digital, F-Prime Capital, Galaxy Ventures, Haun Ventures, Nomura's Laser Digital, and other leading crypto-native and traditional finance investors. Plume recently joined Mastercard’s Start Path incubator program.</span><br><br><span style=\"white-space:pre-wrap;\">As the Compliance Director for Plume’s broker-dealer and transfer agent operations, you will build and administer the compliance architecture for the US gateway to a universe of onchain RWAs. You will provide essential support in obtaining both the broker-dealer and transfer agent licenses, designing and implementing comprehensive compliance programs, and ensuring ongoing compliance with FINRA, SEC, and other applicable regulations.</span></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><br></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><b><strong style=\"white-space:pre-wrap;\">Job Summary</strong></b></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><span style=\"white-space:pre-wrap;\">The Compliance Director will lead Plume’s broker-dealer and transfer agent compliance programs, ensuring adherence to all applicable securities laws, regulations, and internal policies. This role is pivotal in mitigating risks, fostering a culture of compliance, and serving as the primary liaison with regulatory bodies such as the SEC and FINRA. The CCO will oversee compliance for both broker-dealer activities and transfer agent functions, including securities registration, transfer, and recordkeeping. We encourage applications from senior- and mid-level professionals with strong foundational experience who are ready to step into a leadership position in a fast-moving digital asset start-up.</span></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><br></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><b><strong style=\"white-space:pre-wrap;\">Key Responsibilities</strong></b></p><ul data-pattern=\"discCircleSquare\" data-depth=\"1\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin:8px 0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:disc;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Develop, implement, and maintain comprehensive compliance policies, procedures, and controls tailored to Plume’s public blockchain-based broker-dealer operations.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Assist in drafting and negotiating materials in connection with Form BD submission.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Monitor and interpret regulatory changes from the SEC, FINRA, and other relevant authorities, and update firm practices accordingly.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Conduct regular internal audits, risk assessments, and testing to identify and address potential compliance issues.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Oversee the Plume broker-dealer's Anti-Money Laundering (AML) program, including suspicious activity reporting and customer due diligence.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Ensure compliance with transfer agent-specific regulations, including SEC Rules 17Ad-1 through 17Ad-20, covering recordkeeping, safekeeping of securities, and timely processing of transfers and issuances.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Provide compliance training and guidance to employees, including sales, trading, and operations teams.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Manage regulatory examinations, inquiries, and filings, such as Form BD amendments, Form TA-2 (Annual Report for Transfer Agents), Form U4/U5, and annual compliance reports.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Collaborate with senior management to integrate compliance considerations into business strategies and product development, particularly in US digital asset offerings.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Investigate and resolve compliance-related incidents, including client complaints and ethical concerns.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Maintain accurate records of compliance activities and prepare reports for the Board of Directors and executive leadership.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Stay abreast of industry best practices and emerging risks in areas like cybersecurity, data privacy, and digital assets compliance.</span></li></ul><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><b><strong style=\"white-space:pre-wrap;\">Qualifications</strong></b></p><ul data-pattern=\"discCircleSquare\" data-depth=\"1\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin:8px 0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:disc;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Bachelor's degree in Finance, Business, Law, or a related field; advanced degree (e.g., JD, MBA) or relevant certifications (e.g., CRCP, CAMS) preferred.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Minimum of 5 years of experience in compliance roles within the financial services industry, with direct exposure to broker-dealer operations preferred.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Active FINRA Series 7 (General Securities Representative) and Series 24 (General Securities Principal) licenses required; Series 63 (Uniform Securities Agent State Law) or equivalent state registrations strongly preferred. Candidates without current licenses must obtain them within 90 days of hire.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Solid understanding of SEC and FINRA rules, including but not limited to Regulation Best Execution (Reg BI), Rule 17a-3 and 17a-4 (reporting and recordkeeping), and antifraud provisions under Section 10(b) of the Securities Exchange Act and Rule 10b-5.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Proven ability to manage compliance programs, conduct audits, and handle regulatory interactions.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Strong analytical, problem-solving, and communication skills, with the ability to explain complex regulations to non-experts.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Proficiency in compliance software and tools (e.g., for monitoring, reporting, and case management).</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">High ethical standards and a commitment to fostering a compliant organizational culture.</span></li></ul><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><b><strong style=\"white-space:pre-wrap;\">Preferred Experience</strong></b></p><ul data-pattern=\"discCircleSquare\" data-depth=\"1\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin:8px 0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:disc;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">5+ years in compliance, including supervisory or leadership roles in a broker-dealer and transfer agency setting.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Additional FINRA licenses such as Series 4 (Registered Options Principal) or Series 14 (Compliance Official) are a plus.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Demonstrated experience with digital asset regulations and compliance challenges in the cryptocurrency or blockchain space.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Experience with risk management frameworks and data analytics for compliance monitoring, including transfer agent-specific processes.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Familiarity with SEC transfer agent regulations and systems for managing securities ownership records and transaction processing, i.e. SEC Rules 17Ad-1 through 17Ad-20 (transfer agent regulations).</span></li></ul><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><b><strong style=\"white-space:pre-wrap;\">What We Offer</strong></b></p><ul data-pattern=\"discCircleSquare\" data-depth=\"1\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin:8px 0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:disc;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Competitive salary and benefits package, including health insurance, retirement plans, and performance bonuses.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Opportunities for professional development, including reimbursement for license maintenance and continuing education.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">A collaborative work environment with flexibility for remote/hybrid arrangements.</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">The chance to make a significant impact in a growing firm while advancing your career in financial compliance.</span></li></ul>",
      "company": "<meta><h3 style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;line-height:1.6;font-size:21pt;font-weight:600;letter-spacing:0.25px;margin-top:14px;margin-bottom:4px;padding-left:0px;\"><span style=\"white-space:pre-wrap;\">About Plume</span></h3><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><span style=\"white-space:pre-wrap;\">Plume is a </span><b><strong style=\"white-space:pre-wrap;\">public, EVM‑compatible blockchain built for Real World Assets (RWAs)</strong></b><span style=\"white-space:pre-wrap;\">. We go beyond tokenization — enabling assets to be used like crypto: stake, swap, lend, borrow, loop, and more.</span></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><br></p><p style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;line-height:1.6;letter-spacing:0.25px;margin:4px 0px;padding:0px;\"><span style=\"white-space:pre-wrap;\">By integrating institutional‑grade assets with DeFi tools, Plume makes private credit, ETFs, commodities, and other traditionally inaccessible assets </span><b><strong style=\"white-space:pre-wrap;\">permissionless, composable, and usable at a click</strong></b><span style=\"white-space:pre-wrap;\">. Our mission: bridge traditional finance and crypto through adoption without sacrificing transparency or user experience.</span></p><ul data-pattern=\"discCircleSquare\" data-depth=\"1\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin:8px 0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:disc;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><a href=\"https://www.plumenetwork.xyz/ecosystem\" target=\"_blank\" class=\"css-173makr-linkStyle\" style=\"color:rgb(30,74,169);cursor:pointer;\"><span style=\"white-space:pre-wrap;\">180+ RWA companies</span></a><span style=\"white-space:pre-wrap;\">&nbsp;building dapps and tokenizing assets on Plume’s testnet, ranging from collectibles and real estate to equities and private credit</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><a href=\"https://www.plumenetwork.xyz/take-flight-program\" target=\"_blank\" class=\"css-173makr-linkStyle\" style=\"color:rgb(30,74,169);cursor:pointer;\"><span style=\"white-space:pre-wrap;\">50+ technology partners</span></a><span style=\"white-space:pre-wrap;\">&nbsp;working with Plume and offering special services to our ecosystem partners</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><span style=\"white-space:pre-wrap;\">Experienced team of 20+ crypto, finance, and tech professionals from:</span></li><li style=\"font-size:11pt;list-style:none;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><ul data-pattern=\"discCircleSquare\" data-depth=\"2\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin-left:0px;margin-right:0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:circle;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Crypto: Coinbase, dYdX, LayerZero, Binance, Galaxy Digital, Kraken</span></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">Finance/Tech: JP Morgan, Robinhood, Google, Coupa, Affirm</span></li></ul></li><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><span style=\"white-space:pre-wrap;\">Backed by great investors and operators including:</span></li><li style=\"font-size:11pt;list-style:none;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;text-align:start;\"><ul data-pattern=\"discCircleSquare\" data-depth=\"2\" style=\"font-family:&quot;Basel Grotesk&quot;,Arial,sans-serif;font-size:11pt;font-weight:400;margin-left:0px;margin-right:0px;line-height:1.6;padding:0px 0px 0px 32px;list-style-type:circle;\"><li style=\"font-size:11pt;margin:3px 0px;letter-spacing:0.25px;line-height:1.6;\"><span style=\"white-space:pre-wrap;\">YZi Labs, Brevan Howard, Haun Ventures, Galaxy Digital, F-Prime, Lightspeed, Faction, Superscrypt, SV Angel, and more</span></li></ul></li></ul>"
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