Manager, Compliance (Governance)

The Department: Compliance

The Compliance Team at Gemini is dedicated to managing the next generation of compliance risk in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.

The Role: Manager, Compliance (Governance)

Gemini is seeking a dynamic self-starter responsible for day-to-day execution and oversight of Gemini’s compliance governance program. The governance team has a broad and critical remit that includes Compliance policies and procedures; the annual risk assessment; quality assurance and testing programs; and the customer complaint process. This role will report into Gemini’s Head of Governance.

This role is required to be in person twice a week at our New York City, NY office.

Responsibilities:

Governance and Core Functions

Support and help mature the compliance governance framework, including committee structures, policy review cycles, and escalation protocols

Prepare materials and reporting for compliance and risk governance committees

Prepare the annual AML and Sanctions Compliance Risk Assessment, working with control owners to identify inherent risks, assess control effectiveness, and determine residual risk ratings

Identify and champion opportunities to apply AI and automation tools to enhance complaint handling, control testing, and governance reporting

Quality Assurance and Second-Line Control Testing

Help oversee the AML quality assurance program

Develop risk-based annual testing plans covering BSA/AML and Sanctions Compliance

Document testing results and findings; own remediation plans and track issues through to closure

Partner with second and third line to align testing coverage, methodology, and reporting cadence

Customer Complaint Program

Own end-to-end oversight of the regulatory customer complaint program, including intake, categorization, root-cause analysis, and regulatory reporting

Coordinate cross-functionally to resolve escalated complaints, as well as identify and remediate systemic issues

Track complaint trends and metrics; report themes, root causes, and remediation status to compliance leadership and governance committees

Ensure timely, accurate responses to regulatory inquiries and exams tied to customer complaints

Minimum Qualifications:

Bachelor's degree required; J.D. or relevant advanced degree a plus

6+ years of compliance experience, including direct experience in complaints handling and/or second-line compliance testing

Strong working knowledge of regulatory expectations and industry standards in relation to    BSA/AML and Sanctions compliance

Excellent written and verbal communication skills, including experience preparing materials for and presenting to senior stakeholders and governance committees

Willingness and demonstrated ability to utilize AI tools in daily workflows, with sound judgment on validation and appropriate use with sensitive data

Preferred Qualifications:

Experience with digital asset compliance

Strong cross-functional collaboration skills

Interest in building the future of compliance and an owner’s mindset to your work

Experience with compliance case-management or GRC (governance, risk, and compliance) tooling

It Pays to Work Here

The compensation & benefits package for this role includes:

Competitive starting pay

A discretionary annual bonus

Long-term incentive in the form of a new hire equity grant

Comprehensive health plans

401K with company matching

Paid Parental Leave

Flexible time off

Salary Range: The base salary range for this role is between $129,500 - $185,000 in the State of New York. This range is not inclusive of our discretionary bonus or equity package. When determining a candidate’s compensation, we consider a number of factors including skillset, experience, job scope, and current market data.

In the United States, we offer a hybrid work approach at our hub offices, balancing the benefits of in-person collaboration with the flexibility of remote work. Expectations may vary by location and role, so candidates are encouraged to connect with their recruiter to learn more about the specific policy for the role. Employees who do not live near one of our hubs are part of our remote workforce. All employees, however, are required to onboard in-person at one of our office locations.

At Gemini, we strive to build diverse teams that reflect the people we want to empower through our products, and we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace. If you have a specific need that requires accommodation, please let a member of the People Team know.

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