Chief Compliance Officer

Who we are
ALT 5 Sigma is pioneering the field of professional cryptocurrency exchanges by elevating safety, trust, user experience and service standards to an unmatched level. We provide broker-dealers with the only regulated and customizable trading platform tailored exclusively to their needs, to offer their clients a safe, reliable, and simple one-stop shop to invest in cryptocurrencies.
About the Technology
  • Ability to offer multiple digital assets (BTC, ETH, LTC, BCH, BSV etc.)
  • Support 24/7
  • Complete back-end control through customizable administration dashboard
  • Audit trades for clients
  • Automated trade confirmation email and customized monthly statements
  • Ability to place, edit, and cancel limit orders into order book via API.
  • Matching Engine – 5 million transactions per seconds.
  • Unlimited accounts per user.
  • Accept fiat deposits (USD, CAD, EUR).
  • Order types include market, limit and stop.
  • End-points supporting connections to trading interfaces, API, and related user-directed systems.
  • Integrated system to document customer KYC for on-boarding process.
  • Connect to FIX, Binary, WebSocket, REST and custom APIs.
  • Run reports, transactions, treasury.
  • Unlimited user profile.
About the Role

The Chief Compliance Officer is accountable for all areas of our regulatory compliance, including operational compliance, registration and licensing, AML and financial compliance and, in collaboration with the technology team, technical compliance.

They will be responsible for the continued design, development, and implementation of these programs along with operational assessments and continuous testing and monitoring. This executive will lead and manage the compliance organization within the legal and compliance department under the supervision of the Chief Financial Officer. The concepts of integrity, commitment and ethics are critical components of the culture at ALT 5 Sigma, and this leader will play a key role in ensuring that those values remain at the forefront of every employee’s consciousness. They will provide senior-level leadership (thought, people, and results) needed to transform and maintain a robust, world-class Compliance Program.

They will lead and grow a team of professionals, responsible for the continued build-out of a world class oversight function, organized to ensure alignment with and coverage of business lines, legal entities, geographies, and control subject matters. They will represent ALT 5 Sigma from a compliance perspective internally and externally, building and maintaining strong relationships with customers, partners, and regulators where appropriate at the state and federal levels. They will drive compliance goal setting and performance, aligning and coordinating priorities and activities with other internal control groups including legal, finance, technology, and operations.

They shall ensure that the Compliance Program is adapted, as appropriate, to accommodate the unique regulatory, legal, and cultural differences that exist at the business level and within different states, regions, and markets.

More specifically, they will have responsibility for:
(i) establishing and evolving standards and procedures to manage and mitigate the risk of illegal, unethical and improper conduct;
(ii) ensuring these standards are communicated and institutionalized throughout the Company;
(iii) monitoring the Company’s compliance with these standards and procedures and;
(iv) developing sophisticated, training, learning and development programs focused on ensuring that the company is continuously evolving and reinforcing a culture of risk and compliance.

Main Responsibilities
  • Reports directly to Chief Financial Officer with a dotted line relationship to a compliance committee and is responsible for relaying all news and updates related to compliance activities.
  • Lead all areas of regulatory compliance for ALT 5 Sigma within the legal and compliance department under the supervision of the Chief Financial Officer.
  • Act as a member of ALT 5 Sigma’s Executive Committee.
  • Develop strong relationships with regulators and stay consistently ahead of regulatory and legislative changes that impact the organization.
  • Manage and develop the global Compliance team to ensure sufficient support in all existing and new markets.
  • Provide compliance guidance to ALT 5 Sigma and in its customer interactions, processes, and controls to comply with all applicable laws, policies, and regulations.
  • Ensure there are appropriate business-specific compliance and regulatory policies, procedures, reporting, training, and communications programs in place, in alignment with company-wide policies and programs and appropriate for ALT 5 Sigma’s activities and inherent compliance risks.
  • Bachelor’s degree required.
  • Deep knowledge of compliance programs, concepts, and requirements in Finance, Blockchain, FX, gaming or other similar, highly regulated industry.
  • Strong preference for an understanding of and first-hand experience with regulated business environments, products, and services in a variety of professional environments.
  • Understanding of existing and evolving regulatory and control best practices and key issues across global regions and markets
  • 10+ years of generalist compliance experience, in a global organization, transforming new and existing programs
  • High level of comfort and understanding of regulatory compliance within a technology driven environment. Knowledge of digital commerce, payments, and money transfer within a high growth environment
  • Familiarity with managing regulatory agencies at the state and federal levels
  • Comprehensive understanding and application of challenging corporate governance structures
  • Proven ability to understand legal and regulatory concepts and convert them into relevant, practical business requirements
  • The successful candidate must be able to drive implementation of the control programs throughout the organization and possess an excellent reputation as a leader with regulators, both domestically and internationally, and industry leaders alike
  • Proven ability to learn business processes and balance business/market opportunities with regulatory and reputation risk. Ability to provide prompt and meaningful guidance to business leaders with respect to issues involving mitigating risk
  • Strong relationship management and leadership skills, with proven ability to build strong relationships with business partners and regulators and motivate and develop talent
  • Ability to drive results in changing and challenging situations
  • Excellent presentation and communication skills and ability to lead by influence
  • Ability to lead by example, demonstrating high energy, integrity, and effectively influence management in all professional interactions
  • Proven ability to set strategic vision; effectively align resources and successfully execute on initiatives that add value to the company.

This job description is not an exclusive or exhaustive list of duties a person in this position may be asked to perform from time to time.


To succeed at ALT 5 Sigma, you must be a highly detail oriented, motivated self-starter with excellent relational, communication, and organization skills.


New York or Montreal

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ALT 5 Sigma - Next Gen Fintech