Senior Compliance & Client Implementation Manager chez OKX
OKX · San Jose, États-Unis d'Amérique · Hybrid
- Bureau à San Jose
Who We Are
About the Opportunity
The Senior Compliance & Client Implementation Manager will play a critical role in supporting OKX US’s institutional growth by serving as the primary compliance liaison for institutional onboarding, customer due diligence escalations, and pre-screening assessments. This role sits at the intersection of Compliance, CDD (Onboarding), and Business Development, ensuring that new institutional prospects and customers meet all AML/CFT, sanctions, and regulatory requirements prior to and throughout the onboarding lifecycle.
The manager’s top priority will be conducting and overseeing institutional pre-screening due diligence, CDD escalations, and Compliance Program Testing (CPT) for prospective institutional clients. Secondary responsibilities include broader compliance program support such as oversight reporting, regulatory mapping, policy documentation, and support for audits and examinations.
This role is ideal for a compliance professional with experience in institutional onboarding, program assessment, and cross-functional process management.
What You’ll Be Doing
The Senior Compliance & Client Implementation Manager primary responsibilities, will lead efforts in customer due diligence escalations, institutional pre-screening due diligence, and Compliance Program Testing (CPT). Key responsibilities include:
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Conduct comprehensive CDD and EDD reviews for retail and institutional clients, including verification of identity, beneficial ownership, control structures, and source of funds/wealth.
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Review escalations related to PEPs, sanctions, and adverse media, providing clear, risk-based recommendations.
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Maintain accurate and audit-ready documentation across compliance systems.
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Collaborate with CDD, Business Development, and screening teams to refine workflows and strengthen onboarding controls.
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Lead institutional pre-screening due diligence, performing early-stage risk assessments to identify elevated or complex risk profiles.
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Route high-risk institutional prospects to enhanced review pathways and provide actionable guidance to Business Development.
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Conduct Compliance Program Testing (CPT) for institutional clients, assessing the adequacy of CIP/KYC, EDD, ongoing monitoring, sanctions controls, and governance frameworks.
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Produce detailed reports and recommendations to ensure onboarding decisions are informed and aligned with regulatory requirements across all institutional verticals.
Compliance Program Support
The Senior Compliance & Client Implementation Manager secondary responsibilities will support the broader compliance program by ensuring adherence to U.S. regulatory requirements and maintaining the effectiveness of compliance processes. Key responsibilities include:
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Review onboarding and lifecycle escalations for AML/CFT and sanctions adherence outside of institutional pre-screening.
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Monitor the effectiveness of compliance processes through oversight metrics, KPIs, and periodic reporting.
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Support internal and external audits, examinations, and regulatory inquiries by preparing documentation, coordinating responses, and maintaining evidence repositories.
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Maintain and update compliance policies, procedures, desk guides, workflows, and documentation.
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Participate in enhancement projects including screening system tuning, risk-model improvements, and new compliance initiatives.
What We Look For In You
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5–8+ years of experience in AML/CFT, KYC/CDD, institutional onboarding, or compliance program advisory within financial services, crypto, fintech, or equivalent regulated sector.
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Strong knowledge of U.S. AML regulations (BSA/AML, USA PATRIOT Act, OFAC, MSB/MTL requirements, SEC/FINRA rules a plus).
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Experience conducting EDD, program assessments, and risk-based due diligence on institutional clients.
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Excellent communication skills with the ability to translate complex compliance requirements into actionable guidance for business stakeholders.
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Strong analytical skills with experience interpreting corporate structures, financial statements, regulatory filings, and risk indicators.
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Ability to manage multiple escalations and assessments in a fast-paced environment.
Nice to Haves
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Industry certifications (e.g., CAMS, CRCM, CFE)
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Familiarity with crypto products, blockchain analytics, and emerging financial crime typologies.
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Experience in a Compliance/Legal/Risk function at a crypto company.
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Experience with screening and transaction monitoring systems or compliance technology platforms.
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Strong project management skills and experience leading process improvement initiatives.
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Ability to train or mentor junior team members on compliance and due diligence best practices.
Perks & Benefits
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Competitive total compensation package
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L&D programs and Education subsidy for employees' growth and development
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Various team building programs and company events
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Wellness and meal allowances
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Comprehensive healthcare schemes for employees and dependants
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More that we love to tell you along the process!
OKX Statement:
OKX is committed to equal employment opportunities regardless of race, color, genetic information, creed, religion, sex, sexual orientation, gender identity, lawful alien status, national origin, age, marital status, and non-job related physical or mental disability, or protected veteran status. Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
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The salary range for this position is $143,000 - $214,000 in California
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The salary offered depends on a variety of factors, including job-related knowledge, skills, experience, and market location. In addition to the salary, a performance bonus and long-term incentives may be provided as part of the compensation package, as well as a full range of medical, financial, and/or other benefits, dependent on the position offered. Applicants should apply via OKX internal or external careers site.
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