Chief Compliance Officer, US Regulated Entities

About Bullish

Bullish is an institutionally focused global digital asset platform that provides market infrastructure and information services, including a regulated digital assets spot and derivatives exchange, CoinDesk Indices, CoinDesk Data, and CoinDesk Insights.

Position Overview

This senior leadership role serves as the Chief Compliance Officer for Bullish US Operations, LLC and the related derivatives and tokenized securities initiatives. The incumbent will own the full U.S. compliance program across the digital‑asset exchange, futures/derivatives, and securities business lines and will play a key role in shaping the company’s U.S. regulated footprint.

Responsibilities

BUSO – U.S. Spot Trading

• Maintain and enhance BUSO’s compliance program, policies, and procedures in accordance with applicable federal and state law.
• Oversee AML/BSA/OFAC programs, including KYC onboarding, transaction monitoring, and SAR filing obligations.
• Serve as the primary compliance liaison with state and federal regulators having jurisdiction over BUSO’s digital‑asset exchange activities.
• Manage regulatory examinations, inquiries, and enforcement matters related to BUSO.

US Broker‑Dealer

• Build and lead the broker‑dealer compliance program from the ground up, including development of WSPs, supervisory controls, and FINRA‑required procedures.
• Serve as registered Chief Compliance Officer (Series14 or equivalent) with FINRA.
• Manage FINRA examinations, 8210 requests, and regulatory inquiries.
• Ensure compliance with SEC and FINRA rules applicable to digital‑asset securities activities, including RegBI, AML, and recordkeeping.
• Work closely with legal counsel on broker‑dealer licensing, disclosure, and product approval processes.

Derivatives Trading

• Establish and administer a CFTC‑ and NFA‑compliant compliance program, including written supervisory procedures, training, and annual review obligations.
• Oversee NFA registration requirements, including associated persons registration and branch office supervision.
• Supervise surveillance and monitoring of trading and order activity as per the FCMs’ provisions.
• Serve as NFA Compliance Liaison and DSRO contact; manage NFA audits and routine examinations.
• Monitor evolving CFTC rulemaking and update FCM compliance framework accordingly.
• Oversee customer fund segregation compliance and FCM financial condition reporting.

Cross‑Entity & Leadership Responsibilities

• Report directly to the Global Head of Compliance and provide regular compliance reporting to senior management and the Board.
• Build, manage, and mentor a high‑performing U.S. compliance team.
• Develop and deliver compliance training programs tailored to the U.S. regulated business lines.
• Collaborate with global compliance leads, legal, technology, and business teams to ensure a coordinated enterprise‑wide compliance posture.
• Lead market surveillance oversight for U.S. regulated venues.
• Identify and manage regulatory risk arising from new products, markets, and business initiatives.

Experience & Qualifications

• 12+ years of progressive compliance experience in U.S. financial services, with meaningful responsibility in a senior or CCO‑level role.
• Deep knowledge of SEC and FINRA rules applicable to broker‑dealers, including supervisory obligations, AML requirements, and registration/licensing frameworks.
• Working knowledge of CFTC and NFA requirements applicable to FCMs, including NFA registration rules, customer protection requirements, and CFTC regulations.
• Experience managing regulatory examinations and enforcement inquiries with CFTC, NFA, SEC, FINRA, or FinCEN.
• Strong understanding of AML/BSA obligations and FinCEN regulatory requirements.
• Demonstrated ability to build and lead compliance teams and programs from the ground up.
• Excellent written and verbal communication skills; ability to engage credibly with regulators, senior management, and the Board.
• J.D. or bachelor’s degree in law, finance, business, or a related field.
• Eligibility and willingness to obtain FINRA Series7,14 and24 licenses and NFA Series3 or other relevant NFA registration.

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 Series3 and/or FINRA Series7,14,24 licenses.
• Experience supporting initial registration or licensing applications with the CFTC, NFA, SEC, or FINRA.
• Familiarity with CFTC‑regulated digital‑asset derivatives guidance and the evolving U.S. crypto regulatory landscape.

Compensation & Benefits

The anticipated base salary is $225,000 – $265,000 plus discretionary annual target bonus and performance incentives/benefits.

Bullish US LLC & CoinDesk Inc. are committed to offering competitive compensation and benefits.

Equal Opportunity Employer

Bullish is proud to be an equal opportunity employer. We are fast evolving and striving towards being a globally‑diverse community. With integrity at our core, our success is driven by a talented team of individuals and the different perspectives they are encouraged to bring to work every day.

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