Senior Compliance Manager

📋 Description

• • *About OKX:**
• • At OKX, we are driven by the conviction that cryptocurrency will fundamentally reshape the future, ultimately empowering individuals with greater freedom. As a premier crypto exchange and the developer of OKX Wallet, we provide millions with seamless access to crypto trading and decentralized applications (dApps). Our reputation as a trusted brand extends to hundreds of large institutions seeking entry into crypto markets, underpinned by our commitment to safety, reliability, and our Proof of Reserves. Our global team, united by core principles of 'We Before Me,' 'Do the Right Thing,' and 'Get Things Done,' fosters a collaborative, rewarding, and diverse environment. OKX is part of OKG, a group dedicated to bringing the value of blockchain to users worldwide through innovative products like OKX, OKX Wallet, and OKLink.
• • *About the Team:**
• • The Compliance function at OKX is instrumental in cultivating a robust compliance culture across the organization. We are a dedicated team of risk-aware problem solvers, providing essential guidance to the business on regulatory obligations and enterprise risk management.
• • *The Role:**
• • The Senior Compliance Manager plays a pivotal role in bridging the gap between the Issue Management lifecycle and the Firm’s Control Framework. This position is designed to ensure that all remediation efforts transcend administrative tasks, leading to the development and implementation of strong, sustainable controls. You will serve as a critical liaison, translating complex compliance requirements and identified risks from Compliance teams into actionable technical and process requirements for Product and Engineering teams.
• • Your overarching objective is to ensure that every compliance issue identified results in a strengthened control environment, proactively preventing recurrence through improved organizational design and strategic technical automation. You will be responsible for maintaining a comprehensive library of controls and ensuring that when control failures occur, the resulting solutions are permanently integrated into the company's infrastructure. This role demands a unique ability to connect the dots between Compliance Monitoring (identifying gaps) and Business Operations (driving business forward).
• • *Key Responsibilities:**
• • **Remediation Design & Advisory:** Collaborate closely with business units to move beyond superficial fixes. You will guide stakeholders in designing long-term, effective controls—whether automated or manual—that directly address the root causes identified during the issue management process, ensuring sustainable risk mitigation.
• • **Control Mapping & Integration:** Guarantee that every remediation action plan is meticulously mapped back to the Global Compliance Control Library. You will verify that newly established controls are properly documented, assigned clear ownership, and seamlessly integrated into the firm’s existing risk assessment tools and frameworks.
• • **Root Cause Analysis (RCA):** Lead in-depth RCA sessions for complex or recurring compliance issues. You will provide the crucial analytical bridge, clearly articulating *why* a control failed and detailing the specific engineering or process enhancements required for a definitive resolution.
• • **Organizational Alignment:** Work in close partnership with the Issue Management team to ensure that an issue is only considered 'closed' after the implemented control has been rigorously validated as effective, not merely implemented.
• • **Optimization & GRC Integration:** Oversee the technical linkage between Issue Management tickets and the Governance, Risk, and Compliance (GRC) platform. You will ensure that data flows efficiently and accurately between 'Issues' and 'Controls' modules, providing a unified view of risk and remediation status.
• • **Control Validation Testing:** Develop and refine testing methodologies and scripts used to validate that newly implemented controls are functioning as intended before an issue is officially marked as remediated, ensuring true effectiveness.
• • **Thematic Reporting & Trend Analysis:** Identify overarching trends and patterns across multiple compliance issues to propose 'horizontal' control improvements that can benefit multiple departments simultaneously, driving systemic enhancements.
• • **Control Design & Consulting:** Partner with business teams to architect and implement 'Key Compliance Controls' (KCCs). You will ensure that every control is defined with a clear **Objective** (what risk are we mitigating?), a defined **Frequency** (how often does it operate?), and a designated **Owner** (who is accountable?).
• • **Control Library Maintenance:** Act as the custodian of the 'Source of Truth' for all compliance controls across the firm, typically managed within a GRC tool or a master control spreadsheet, ensuring accuracy and accessibility.
• • **Design Effectiveness (DE) Assessment:** Conduct thorough reviews of proposed controls *before* their implementation to assess their logical capability to effectively mitigate identified risks. This involves evaluating factors such as the suitability of the control mechanism and the qualifications of personnel involved.
• • **Operating Effectiveness (OE) Testing:** Execute sample-based testing to empirically verify that controls are operating as designed and are effective over a specified period, providing evidence of ongoing compliance.
• • **Cross-Functional Collaboration:** Foster strong working relationships across Legal, Product, Engineering, and Operations teams. You will influence stakeholders and drive consensus in a matrixed environment, ensuring alignment on compliance objectives and remediation strategies.
• • **Continuous Improvement:** Proactively identify opportunities to enhance the control environment, streamline compliance processes, and leverage technology to improve efficiency and effectiveness.