Manager, Compliance (Governance)

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: Manager, Compliance (Governance)

Gemini is seeking a dynamic self-starter responsible for day-to-day execution and oversight of Gemini’s compliance governance program. The governance team has a broad and critical remit that includes Compliance policies and procedures; the annual risk assessment; quality assurance and testing programs; and the customer complaint process. This role will report into Gemini’s Head of Governance.

This role is required to be in person twice a week at our New York City, NY office.

Responsibilities

Governance and Core Functions

• Support and help mature the compliance governance framework, including committee structures, policy review cycles, and escalation protocols
• Prepare materials and reporting for compliance and risk governance committees
• Prepare the annual AML and Sanctions Compliance Risk Assessment, working with control owners to identify inherent risks, assess control effectiveness, and determine residual risk ratings
• Identify and champion opportunities to apply AI and automation tools to enhance complaint handling, control testing, and governance reporting

Quality Assurance and Second-Line Control Testing

• Help oversee the AML quality assurance program
• Develop risk-based annual testing plans covering BSA/AML and Sanctions Compliance
• Document testing results and findings; own remediation plans and track issues through to closure
• Partner with second and third line to align testing coverage, methodology, and reporting cadence

Customer Complaint Program

• Own end-to-end oversight of the regulatory customer complaint program, including intake, categorization, root-cause analysis, and regulatory reporting
• Coordinate cross-functionally to resolve escalated complaints, as well as identify and remediate systemic issues
• Track complaint trends and metrics; report themes, root causes, and remediation status to compliance leadership and governance committees
• Ensure timely, accurate responses to regulatory inquiries and exams tied to customer complaints

Minimum Qualifications

• Bachelor's degree required; J.D. or relevant advanced degree a plus
• 6+ years of compliance experience, including direct experience in complaints handling and/or second-line compliance testing
• Strong working knowledge of regulatory expectations and industry standards in relation to