ApplySarthiSenior Compliance Manager, Tokenized Securities Venue (Americas)
OKX
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Questions you are likely to be asked
- Why do you want to join OKX?
- Tell me about yourself, and why this role is the right next step.
- Tell me about a problem you solved at work that you are proud of.
- Tell me about a time you disagreed with your manager. What happened?
- Where do you want to be in three years?
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Practise the Senior Compliance Manager, Tokenized Securities Venue (Americas) at OKX interview free →Who We Are
At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles: We Before Me, Do the Right Thing, and Get Things Done. These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er.
About the Opportunity
The Americas Compliance team is hiring a Senior Compliance Manager to own compliance for OKXICE TSV. OKXICE TSV is the tokenized securities venue run by the OKX and Intercontinental Exchange joint venture under the SEC's Innovation Exemption, and it lets eligible US users trade tokenized US-listed stocks on-chain. You'll be the main person accountable for meeting the exemption's ongoing conditions. You'll work closely with Legal, Product, Web3 Risk Control and our AML, Sanctions and Surveillance teams. This is a new role on a new type of venue, so you'll help build the program as well as run it.
What You'll Be Doing
- Own the compliance program for the venue's SEC exemption, including tracking each condition, testing controls and keeping records ready for regulatory examination.
- Manage the venue's public notice: review revisions, control versions, and make sure the notice matches how the product actually works. This includes corrections and material-change filings within the required deadlines.
- Run the issuer notice process from start to finish, including tracking delivery, handling objections and confirming each stock's listing date.
- Track and monitor TSV limits on an ongoing basis, including per-stock and volume limits against consolidated market data, periodic tier rechecks, trading halts and eligible stablecoins. Escalate breaches, significant operational events and required SEC notifications.
- Oversee participant onboarding and ongoing wallet maintenance and monitoring, including KYC/KYB, daily sanctions and on-chain wallet rescreening, keeping wallet-to-participant records current, and issuing and revoking the soulbound token (SBT) credential that grants access.
- Report to the OKXICE LLC Board of Managers and to Americas Compliance leadership, and manage and develop a TSV Compliance Analyst.
What We Look For In You
- 8+ years of compliance experience at a broker-dealer, exchange, alternative trading system (ATS) or digital asset firm, with direct experience of SEC-regulated activity.
- Working knowledge of the federal securities laws that apply to trading venues, such as Regulation ATS, Regulation NMS and market manipulation rules, plus the ability to apply them to new market structures.
- Experience building or running compliance programs under regulatory conditions, exemptive relief or no-action positions.
- Familiarity with how blockchain-based trading works, including self-custodied wallets, smart contracts, liquidity pools and on-chain screening.
- Strong drafting skills, with experience turning complex technical or legal detail into clear public disclosures and procedures.
- Sound judgment and the ability to work with Product, Engineering and Legal teams across time zones.
Nice to Haves
- Experience with tokenized securities, transfer agents or digital asset broker-dealers.
- Exposure to OFAC sanctions programs and blocked property handling for on-chain assets.
- Experience reporting to a board or joint venture governance body.
- A JD or a similar legal background.
Perks & Benefits
- Competitive total compensation package
- Various team building programs and company events
- Wellness and meal allowances
- Comprehensive healthcare schemes for employees and dependants
- More that we love to tell you along the process!
OKX Statement:
OKX is committed to equal employment opportunities regardless of race, color, genetic information, creed, religion, sex, sexual orientation, gender identity, lawful alien status, national origin, age, marital status, and non-job related physical or mental disability, or protected veteran status. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
Notice:
All official OKX vacancies are published on this website. While roles may appear on selected third-party platforms from time to time, information on other sites may be inaccurate or outdated. If in doubt, please apply directly through our official careers website.
Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
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Listed on greenhouse · posted 2026-11-02. ApplySarthi collects openings and links to application pages; the role is advertised by OKX, not by us.