Head Of Compliance Jobs
Head Of Compliance jobs are open across financial services, healthcare, technology, and insurance, at every level from compliance manager to chief compliance officer, with specializations in regulatory affairs, data privacy, and AML. Find a role that fits from the openings below and apply directly.
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About the Company
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.
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:
Head of Compliance, Gemini Galactic Markets, LLC
Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer. This role is required to be in person twice a week at our New York City, NY office.
Responsibilities:
- Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
- Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
- Supervise trade and market surveillance across the firm's securities and derivatives products
- Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
- Maintain the firm's AML program covering both broker-dealer and FCM activities
- Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
- Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
- Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
- Review and approve advertising, marketing, and sales materials
Minimum Qualifications:
- BA/BS degree
- Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- 10+ years of securities and/or commodities regulatory compliance experience
- Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- Comfort working in a technology-forward environment
- Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- Authorization to work in the United States and fluency in English
Preferred Qualifications:
- Advanced degree/certifications, e.g. JD, MBA
- Familiarity with virtual currencies, digital transfer platforms, ATS
- Strong cross-functional collaboration skills
- Interest in building the future of compliance and an owner’s mindset to your work
- Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm
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 $150,500 - $279,500 in the State of New York, the State of California and the State of Washington. 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.
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.
About the Company
Gemini is a global crypto and Web3 platform founded by Cameron and Tyler Winklevoss in 2014, offering a wide range of simple, reliable, and secure crypto products and services to individuals and institutions in over 70 countries. Our mission is to unlock the next era of financial, creative, and personal freedom by providing trusted access to the decentralized future. We envision a world where crypto reshapes the global financial system, internet, and money to create greater choice, independence, and opportunity for all — bridging traditional finance with the emerging cryptoeconomy in a way that is more open, fair, and secure. As a publicly traded company, Gemini is poised to accelerate this vision with greater scale, reach, and impact.
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:
Head of Compliance, Gemini Galactic Markets, LLC
Gemini is seeking a dynamic self-starter to lead our broker dealer and future commission merchant compliance program. This role requires deep expertise across federal securities and commodities regulation, SEC, FINRA, CFTC, and NFA, with hands-on experience building and running compliance programs at a retail-facing brokerage and FCM. The ideal candidate has strong command of supervisory and surveillance operations across listed securities and derivatives, financial and segregation reporting obligations, and familiarity with digital assets. This role will report into Gemini’s Global Chief Compliance Officer. This role is required to be in person twice a week at our New York City, NY office.
Responsibilities:
- Provide compliance advisory and support to the broker-dealer business and oversee the development of the broker-dealer compliance program
- Oversee the FCM compliance program, including the firm's risk management program and annual CCO report
- Oversee daily customer segregation computations and related financial and regulatory filings across both the broker-dealer and FCM
- Supervise trade and market surveillance across the firm's securities and derivatives products
- Serve as the primary point of contact for FINRA, NFA, SEC, and CFTC exams and inquiries
- Maintain the firm's AML program covering both broker-dealer and FCM activities
- Draft, maintain, and implement Written Supervisory Procedures and other internal policies and procedures
- Collaborate cross-functionally with technology, product, and legal teams on trading system operations to ensure compliance with regulation and regulatory expectations
- Advise on core compliance matters including registrations, employee trading, outside business activities, and continuing education requirements
- Review and approve advertising, marketing, and sales materials
Minimum Qualifications:
- BA/BS degree
- Active FINRA Series 7, 63, and 24 licenses; NFA Series 3 (or ability to obtain within 120 days of hire)
- 10+ years of securities and/or commodities regulatory compliance experience
- Deep expertise in broker-dealer and/or FCM operations and the associated regulatory frameworks
- Strong understanding of FINRA, SEC, CFTC, and NFA compliance requirements
- Comfort working in a technology-forward environment
- Superior writing skills, including the ability to analyze and assess large amounts of information into succinct responses
- Authorization to work in the United States and fluency in English
Preferred Qualifications:
- Advanced degree/certifications, e.g. JD, MBA
- Familiarity with virtual currencies, digital transfer platforms, ATS
- Strong cross-functional collaboration skills
- Interest in building the future of compliance and an owner’s mindset to your work
- Experience with surveillance and supervision across securities and derivatives at a multi-registrant firm
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 $150,500 - $279,500 in the State of New York, the State of California and the State of Washington. 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.
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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Find Head Of Compliance JobsHead Of Compliance Job Market
A snapshot from current openings nationwide, updated as new roles post.
Who's Hiring
- Citi11
- State Street11
- SentiLink6
- TikTok6
- Hunter Douglas4
Top Industries Hiring
- Banking & Financial Services48
- Technology & Software39
- Investment & Asset Management26
- Biotechnology & Pharmaceuticals22
- Insurance12
What Employers Look For
The qualifications that appear most often in head of compliance jobs.
- Bachelor's degree in law, business, finance, or a related field with relevant compliance experience
- Deep knowledge of applicable regulatory frameworks such as SEC, FINRA, HIPAA, or GDPR
- Professional certification such as CCEP, CRCM, CAMS, or equivalent compliance credential
- Experience building, managing, or overhauling a compliance program within a regulated industry
- Proven ability to conduct internal investigations and present findings to senior leadership or boards
- Proficiency with compliance management software, case tracking tools, and risk assessment platforms
Tips for Your Head Of Compliance Job Search
Quantify your regulatory impact on your resume
Rather than listing the frameworks you know, show what changed because of your work. Reduced audit findings by a specific percentage, built a compliance program from scratch, or remediated a consent order faster than projected all carry more weight than framework names alone.
Lead with your regulatory domain first
Hiring managers screen head of compliance resumes by industry before reading anything else. Make your primary regulatory area, whether SEC, HIPAA, FINRA, or GDPR, visible in your summary line so it matches the opening before anyone reads deeper into your resume.
Target openings by your license or certification match
CRCM, CCEP, and CAMS certifications are often listed as required, not preferred. Filter your search to roles that match the certifications you actually hold, because applying without them to openings that require them rarely moves forward to a phone screen.
Apply early to roles that fit
Migrate Mate lists head of compliance openings from across the United States in one place, so you can find roles that match and apply directly to each listing.
Prepare a case study for your first interview
Almost every head of compliance interview includes a scenario question about a regulatory gap or enforcement action you managed. Have one real example ready that covers how you identified the issue, what you changed, and what the outcome was, without disclosing confidential client details.
Negotiate your reporting structure at the offer stage
Whether you report to the CEO, general counsel, or board audit committee matters for your authority and effectiveness. Ask about the reporting line before signing. A compliance function buried under finance signals a different scope than one with direct board access.
Head Of Compliance Jobs: Frequently Asked Questions
Which companies are hiring the most head of compliances?
The companies hiring the most head of compliances right now include Citi, State Street, and SentiLink, with the largest share of openings in New York, California, and Massachusetts, based on current listings on Migrate Mate as of June 2026. Financial services, health systems, and technology companies consistently drive the highest volume of head of compliance hiring nationally.
How many head of compliance jobs are remote?
About 40% of head of compliance openings are fully remote or hybrid as of June 2026, making it one of the more flexible senior roles in legal and risk functions. Data privacy, third-party risk, and regulatory reporting sub-areas tend to offer the highest share of remote arrangements, while roles tied to physical operations or on-site audits are more likely to require in-person presence.
How do you become a head of compliance?
Most people reach the head of compliance level by building deep expertise in a specific regulatory domain first, such as financial crimes, healthcare privacy, or securities law, then moving into a compliance manager or director role where they oversee a team and own a program. Earning a relevant certification, developing board-level communication skills, and leading at least one significant remediation or program build all strengthen your candidacy for a head-level appointment.
Can you get hired as a head of compliance without direct compliance leadership experience?
It is possible to move into a head of compliance role from adjacent functions like legal, internal audit, or risk management if your experience maps directly to the compliance gaps the employer is trying to fill. Emphasize any time you owned a regulatory relationship, led an investigation, or designed a policy framework, even if your title was not compliance-specific. Smaller organizations and startups building their first compliance function are more likely to consider candidates making this kind of lateral move.
What does the head of compliance interview process look like?
Most head of compliance hiring processes include an initial recruiter or HR screen, a substantive interview with the general counsel or CFO, a panel interview with business line leaders, and often a final conversation with the CEO or an audit committee member. You should expect at least one scenario or case-study question about how you handled a past enforcement matter or built a compliance framework, and questions about how you balance regulatory obligations with business priorities.
Where can I find and apply to head of compliance jobs?
You can find and apply to head of compliance jobs on Migrate Mate, which lists current openings from employers across the United States. Search the available roles to find positions that match your regulatory background and seniority level, then apply directly to each listing that fits.
See All 195+ Head Of Compliance Jobs
Jump back to the full list of openings and apply to any head of compliance role that fits.
Find Head Of Compliance Jobs