Compliance Senior Audit Manager, US at OKX

San Jose, California, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Cryptocurrency, Blockchain, Financial ServicesIndustries

Requirements

Bachelor's degree in Business, Legal, or a related field; a master's degree and professional certification (e.g., CPA, CIA, CAMS) preferred
Internal audit experience in a supervisory or managerial role, preferably within the cryptocurrency, technology, fintech, or financial services sectors
Compliance experience strongly preferred (does not require internal audit experience)
Industry experience with CFTC, consumer protection acts, OCC, SEC, FinCEN requirements
Excellent analytical skills with the ability to identify issues, root causes, and propose practical solutions

Responsibilities

Work with Internal Audit leadership and business stakeholders to build risk-based and regulatory-focused audit plans aligning to company priorities
Conduct cryptocurrency and blockchain-related compliance audits around onboarding, ongoing transaction monitoring, trade and market surveillance, wallet security, and initial coin offerings
Conduct regulatory audits to evaluate compliance with regional standards (e.g., CFTC, FinCEN, OCC, OFAC) recommendations
Manage end-to-end audits, reviews, and ad-hoc projects, ensuring audits follow professional standards and internal policies
Create and maintain documentation, including reviewing and/or preparing process flowcharts and testing procedures for key controls
Recommend corrective actions and partner with control owners to ensure timely resolution of control deficiencies
Prepare clear, concise audit reports and present findings to senior leadership and business owners
Apply data-driven techniques to enhance audit effectiveness and identify control improvement opportunities
Stay up-to-date with industry trends, regulatory changes, and emerging risks in the cryptocurrency and blockchain space
Assist in responding to regulatory and external auditor requests and inquiries
Provide coaching and guidance on the professional development of the internal audit team

Skills

Key technologies and capabilities for this role

Internal AuditCompliance AuditRisk AssessmentRegulatory ComplianceAudit PlanningAudit ExecutionAudit ReportingControl AssessmentProcess EvaluationRemediation

Questions & Answers

Common questions about this position

What is the location for this Compliance Senior Audit Manager role?

This role will be based in New York, NY.

What are the core company values at OKX?

OKX is united by core principles: We Before Me, Do the Right Thing, and Get Things Done, which drive the culture and foster a friendly, rewarding, and diverse environment.

What experience is required for this role?

The ideal candidate will have experience within an internal audit function by managing or executing compliance audits, including cryptocurrency and blockchain-related compliance audits around onboarding, transaction monitoring, trade surveillance, wallet security, and initial coin offerings.

What does the role involve in terms of audit responsibilities?

The role involves overseeing and executing internal audit projects including risk-based audits, process evaluations, control assessments, audit planning, execution, reporting, and remediation, with a focus on regulatory risks and compliance with standards like CFTC, FinCEN, OCC, and OFAC.

Who does this position report to?

The role reports to the Head of Internal Audit for the US region.

OKX

Cryptocurrency exchange and DeFi services

About OKX

OKX is a leading cryptocurrency exchange that serves over 50 million users globally with a diverse suite of crypto trading and earning services. Dedication to leveraging blockchain technology to offer services like spot, margin, and derivatives markets, along with DeFi portfolio management and NFT marketplace access, underscores their commitment to enabling decentralized financial access. The company fosters a culture that values financial innovation and leadership in the digital finance sphere.

Singapore, SingaporeHeadquarters

2017Year Founded

$856.3MTotal Funding

PE_GROWTHCompany Stage

Fintech, Crypto & Web3Industries

5,001-10,000Employees

Risks

Fraudulent plugins in Firefox Store could harm OKX's reputation and user trust.

Investment in Sui-based Haedal exposes OKX to Sui blockchain risks.

Rapid feature expansion may lead to system vulnerabilities affecting user experience.

Differentiation

OKX offers over 350 tokens and 100+ local currencies for trading.

Monthly Proof of Reserve releases enhance OKX's transparency and user trust.

OKX Wallet provides seamless access to Web3, DeFi, and NFT ecosystems.

Upsides

Collaboration with Arbitrum enhances OKX Wallet's user engagement and developer resources.

Launch of Ordinals Platform taps into the growing digital collectibles market.

Investment in Haedal expands OKX's portfolio in liquid staking protocols.

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