The Firm and its Business
Oasis Pro Markets, LLC (the Firm) is developing the digital future of capital markets.
We are a registered broker-dealer and ATS (Alternative Trading System) currently building a revolutionary ecosystem to support the issuance and trading of digital asset securities (tokenized securities and other assets). We envision a future where everything is tradeable and have already constructed the technological foundation on which this thesis can develop.
As an SEC and FINRA-regulated company licensed to conduct business in digital asset securities, we are positioned to bridge traditional finance and the digital future, leveraging technology to improve the capital markets for issuers and investors alike.
The Role
The Compliance Officer assists in the design, development, delivery and maintenance of the compliance program for the broker-dealer, with a focus on a digital asset alternative trading system (ATS).
Responsibilities
· Draft/update/synchronize the firm’s written policies, procedures and documents including the firm’s written supervisory procedures, compliance manual, code of conduct and operational process documents, and participate in testing same.
· Coordinate with the firm’s leadership, registered representatives, associated persons to monitor personnel specific and compliance related requirements (political contributions, outside accounts, personal trade approval, outside business disclosure, gifts and entertainment, etc.).
· Assist with the implementation of the broker-dealer ethics program to support related employee trading activities, OBA’s, political contributions, etc.
· Create Firm Element Continuing Education content and deliver the firm’s continuing education training. Track registered representatives’ compliance with Regulatory and Firm Element training requirements.
· Help prepare and organize materials for internal/external annual audits and regulatory exams.
· Assist with preparation and ensure timely and accurate filings of regulatory reports and responses to regulatory inquiries.
· Research and keep abreast of applicable new rules or rule changes and implementing policies, procedures or other controls necessary to comply with such rule changes.
Qualifications
· Bachelor’s degree in finance, economics, accounting, law or business administration.
· Minimum of 8 years of experience in the financial services industry, specifically, within a broker/dealer operating as an affiliate, subsidiary or division of a bank and/or RIA.
· Knowledge of digital asset financial products and services offered by the broker dealer, as well as applicable federal and state securities laws, rules regulations, and those of relevant SROs.
· Possess excellent oral and written communication skills with the ability to dispassionately manage challenging and/or confrontational interaction with firm personnel, clients and regulators.
· Self-motivated, diligent, collaborative, conscientious, highly organized, detail-oriented and able to drive tasks to completion with minimal oversight.
· Team-orientated, able to complete tasks independently and ability as to take on varying tasks in a fast-moving dynamic work environment.
· Series 7, 63, 24 and/or JD a plus.
What we offer
Cutting edge work – An exciting opportunity to participate in the Firm’s development and work on product offerings that are often the first of their kind.
Unparalleled Firm Culture - The Firm is built upon a culture of proactivity, creativity, collaboration and respect. Each member of the team has the responsibility to execute on his/her objectives as well as be responsive to colleagues when they need assistance. We often have brainstorming sessions and involve a cross-section of the team when making key decisions to ensure that all perspectives are taken into consideration.
Perks – We offer team building experiences through frequent in-office team lunches and social events, and the ability to engage with others in the industry through industry group memberships and local conferences. In addition, after a period of time in your role, you will have the opportunity to attend conferences out-of-town.
Compensation | Benefits | Office Location
Oasis Pro Markets offers competitive salary and benefits packages including medical, dental and vision plans, and 401(k).
We believe in the value of in-person interaction and collaboration. As such, team members are expected to spend time working from the Firm’s office, Darien CT, on a regular basis.
Contact
Interested candidates should contact Evangelos Tzoulafis
evangelos@oasispromarkets.com
