Compliance Officer
Yuma
Date: 2 weeks ago
City: Stamford, CT
Contract type: Full time
Join Us in Shaping the Future of Decentralized Intelligence
At Yuma, we are on a mission to drive positive economic and societal change by revolutionizing the way the world connects through decentralized intelligence. Yuma exists to champion development on Bittensor, an ecosystem that empowers brilliant minds and democratizes access to advanced computing and intelligence. Together we are cultivating a space where innovation thrives, ideas are rewarded, and cutting-edge technology becomes accessible to everyone.
As a proud subsidiary of DCG, a global investor, builder, and incubator, we have the backing and resources to empower the next generation of visionaries. Our role is clear: to support and nurture transformative teams at the critical early stages of development. By removing barriers and providing the tools needed to succeed, we're ensuring that the AI revolution is not just for a select few but for the visionaries shaping our shared future.
DESCRIPTION:
The Compliance Officer is responsible for overseeing and managing Yuma's compliance program, including monitoring trading activity, conducting reviews of electronic communications, and ensuring compliance with applicable regulations and internal policies. You will also guide our AML/KYC processes and support other ongoing compliance obligations.
This is a highly cross-functional role requiring a self-starter who is comfortable operating independently and partnering closely with legal, operations, and investment professionals.
KEY RESPONSIBILITIES:
Core Compliance Oversight
At Yuma, our mission is to create positive economic and societal change by connecting transformative ideas to decentralized intelligence.
Yuma exists to support and encourage development on Bittensor – an ecosystem that rewards our brightest minds and opens access to advanced computing and intelligence. We support promising teams at critical early stages of development, enabling world changing innovations to get off the ground and ensuring the AI revolution is accessible to the next generation of visionaries shaping our world.
Yuma is a subsidiary of DCG, a global investor, builder and incubator.
Yuma is an Equal Opportunity Employer and embraces diversity. We do not tolerate discrimination or harassment based on race, color, religion, marital status, gender (including pregnancy, childbirth or related medical conditions), gender identity, sexual orientation, parental status, national origin, age, disability, genetic information (including family medical history), political affiliation, military service, or any other non-merit-based factors protected under federal, state or local law. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, transfer, leaves of absence, compensation, and training.
Disclaimer
The above statements are intended to describe the general nature and level of work performed by employees assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
At Yuma, we are on a mission to drive positive economic and societal change by revolutionizing the way the world connects through decentralized intelligence. Yuma exists to champion development on Bittensor, an ecosystem that empowers brilliant minds and democratizes access to advanced computing and intelligence. Together we are cultivating a space where innovation thrives, ideas are rewarded, and cutting-edge technology becomes accessible to everyone.
As a proud subsidiary of DCG, a global investor, builder, and incubator, we have the backing and resources to empower the next generation of visionaries. Our role is clear: to support and nurture transformative teams at the critical early stages of development. By removing barriers and providing the tools needed to succeed, we're ensuring that the AI revolution is not just for a select few but for the visionaries shaping our shared future.
DESCRIPTION:
The Compliance Officer is responsible for overseeing and managing Yuma's compliance program, including monitoring trading activity, conducting reviews of electronic communications, and ensuring compliance with applicable regulations and internal policies. You will also guide our AML/KYC processes and support other ongoing compliance obligations.
This is a highly cross-functional role requiring a self-starter who is comfortable operating independently and partnering closely with legal, operations, and investment professionals.
KEY RESPONSIBILITIES:
Core Compliance Oversight
- Serve as Yuma's primary compliance officer and point of contact for all compliance-related matters
- Maintain and execute Yuma's compliance calendar, policies, and procedures
- Ensure compliance with SEC and state regulations, including initial oversight of Exempt Reporting Adviser obligations
- Monitor trade activity and perform regular trade surveillance
- Oversee and conduct reviews of employee and firm electronic communications
- Develop and lead employee compliance training programs, including code of ethics, AML/KYC, and ongoing regulatory education
- Cultivate a strong culture of compliance and ethics throughout the organization
- Perform periodic internal reviews and risk assessments
- Oversee AML/KYC procedures related to fund subscriptions and investor onboarding
- Coordinate with fund administrators and external partners to ensure thorough diligence processes
- Prepare and maintain required regulatory filings, including Form ADV (as applicable) and Form PF (if applicable in the future)
- Maintain required books and records, including compliance records, disclosures, and certifications
- Work closely with Legal, Operations, and Investment teams to evaluate and mitigate compliance risks
- Monitor changes in regulatory frameworks, especially as they relate to digital assets, and proactively update policies
- 5+ years of experience in a compliance role within a hedge fund, asset manager, venture capital firm, or crypto fund
- Strong understanding of the Investment Advisers Act, AML/KYC frameworks, and exempt reporting advisor obligations
- Experience conducting trade surveillance and communication reviews
- Familiarity with compliance platforms and surveillance tools
- Excellent organizational skills and attention to detail
- Proven ability to build and execute compliance programs in fast-paced or early-stage environments
- Experience in the digital asset space, particularly with crypto compliance frameworks
- Knowledge of the Bittensor ecosystem or decentralized network operations
- Experience working with fund administrators and investor relations teams
- JD, MBA, or relevant compliance certifications (e.g., CAMS, IACCP) a plus
- An opportunity to thrive in a dynamic, cutting-edge environment at a rapidly scaling company led by experienced industry leaders
- An innovative learning environment where you can immerse yourself in the latest technologies, contribute to building a transformative new industry, and make a meaningful impact.Competitive base salary, bonus and incentive compensation
- Unlimited PTO / Flexible time off - work with your leader to take time off when you need it
- Professional development budget with flexibility for personal and professional growth
- Outstanding health insurance for employee, partner and dependents
- Life insurance, short-term & long-term disability coverage
- 401K plan with company contribution
- Flexible spending programs for medical and dependent care
- Paid parental leave
At Yuma, our mission is to create positive economic and societal change by connecting transformative ideas to decentralized intelligence.
Yuma exists to support and encourage development on Bittensor – an ecosystem that rewards our brightest minds and opens access to advanced computing and intelligence. We support promising teams at critical early stages of development, enabling world changing innovations to get off the ground and ensuring the AI revolution is accessible to the next generation of visionaries shaping our world.
Yuma is a subsidiary of DCG, a global investor, builder and incubator.
Yuma is an Equal Opportunity Employer and embraces diversity. We do not tolerate discrimination or harassment based on race, color, religion, marital status, gender (including pregnancy, childbirth or related medical conditions), gender identity, sexual orientation, parental status, national origin, age, disability, genetic information (including family medical history), political affiliation, military service, or any other non-merit-based factors protected under federal, state or local law. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, transfer, leaves of absence, compensation, and training.
Disclaimer
The above statements are intended to describe the general nature and level of work performed by employees assigned to this classification. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
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