Cryptocurrency compliance, digital asset operations, fraud investigation, and alternative investment due diligence subject matter expert. Chief Compliance Officer, Compliance Lead, Regulatory Compliance, Regulatory Reporting: • Multi-strategy cryptocurrency hedge fund Chief Compliance Officer ...more

Cryptocurrency compliance, digital asset operations, fraud investigation, and alternative investment due diligence subject matter expert. Chief Compliance Officer, Compliance Lead, Regulatory Compliance, Regulatory Reporting: • Multi-strategy cryptocurrency hedge fund Chief Compliance Officer (CCO) and Chief Operating Officer (COO) •SEC 206(4)-7 investment compliance, testing, annual reviews, transaction surveillance, market access controls, exception reporting, privacy data (GDPR) • Regulatory examinations (SEC, FINRA, CFTC, broker-dealer compliance, mutual funds, alternative trading systems (ATS), remediation • Registered Investment Advisers (RIA) - Investment Company Act of 1940, Advisers Act of 1940, • Monitor key performance indicators (KPIs) / use analytical skills to implement independent testing / Regulatory filings (Form ADV, Form PF) Investment Fund Compliance: • Alternative investments compliance: hedge funds, private equity, venture capital, digital asset funds • Draft and implement compliance policies and procedures, including Code of Ethics, personal trading, business continuity, artificial intelligence (AI) usage • Develop written communications on new laws, regulatory updates, and risk analysis for senior leadership Anti-money laundering (AML), Bank Secrecy Act (BSA) (BSA/AML), Sanctions Compliance: • Know Your Customer (KYC), CDD / EDD, anti-bribery and corruption, watchlist and politically exposed persons (PEPs) screening, financial crime compliance (FCC) • Patriot Act, Travel Rule (FATF recommendation 16), OFAC / FinCEN requirements Crypto Licensing: • NYDFS compliance - Part 504 (transaction monitoring), Part 500 (cybersecurity), BitLicense • Money Service Business (MSB), Money Transmitter License (MTL), VASP, state licenses Other Crypto Projects include: • Developed compliance protocols / fraud prevention program for cross-border digital payments, proprietary blockchain and NFT collectibles project (mobile games with licensed properties) •DeFi (non-custodial wallets, lending, borrowing, gaming), tokenization, DEX and CEX exchange compliance, terms of service, FinTech / startup compliance Leadership experience: • Manage teams of 20+ compliance consultants, lawyers, general counsel, and auditors on cross-functional teams across a variety of engagements Other projects: • Expert witness in litigation and arbitration. • Subject matter expert (SME) for regulators and institutional investors on topics including cryptocurrency compliance, blockchain operations, digital asset wallets, audit, and operational due diligence.less