Head of Institutional Compliance

Function: Compliance
Crypto: FinTech
Location: Remote

The Ask

A major player in the cryptoeconomy retained Second Line Advisors during a critical period of growth and expansion as the company looked to identify an executive to drive the compliance oversight of the company’s institutional business, focused on the regulatory oversight of the SEC, CFTC, and FINRA. This institutional compliance role reported to the Chief Compliance Officer. Critical thinking, SME experience within SEC and CFTC, scrappiness, and strategic long-term vision were among the top criteria that the hiring manager was looking for in the right candidate.

The Process

After investing time to understand the culture of the client’s company and team, we went to market quickly and built a pipeline of 100 target prospects spanning financial services, FinTech, crypto, management consulting, trading firms/exchange, and regulators.

The Result

We placed a forward-thinking compliance executive with a mix of regulatory and compliance experience, including at numerous financial institutions as well as the CFTC. The candidate had a strong comfort with technology, fast paced and entrepreneurial business environments, and proven success engaging with regulators. The placed candidate was extended an offer within three months of search launch.

The Numbers

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Candidates Screened
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Companies Mapped
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Diversity among candidates interviewed

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Head of Compliance
Case Study

Head of Compliance

Function: Compliance
Sector: FinTech
Location: New York

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