Principal Associate Compliance
"What You'll Be Doing"
About This Role
Kraken Securities is the U.S. Broker Dealer entity of Kraken. In this role, you will support the existing Chief Compliance Officer to ensure the Broker Dealer remains compliant with all applicable FINRA, SEC and state regulations.
What You'll Be Doing
Help execute the Broker Dealer's compliance and risk assessment programs, including testing, monitoring, surveillance, and adherence to all relevant laws and regulations.
Oversee, address, and remediate daily flags related to KYC, CIP, Suitability, PEP, and Sanctions, while helping identify opportunities to improve policies and procedures and staying current on company goals, regulatory developments, and industry trends, and testing the effectiveness of controls.
Maintain and update written supervisory procedures, the surveillance program, testing programs, and employee education programs, including reviewing and addressing issues raised by compliance testing results.
Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters related to compliance risk management, including complaint handling and ongoing (monthly, quarterly, etc.) reporting.
Work with department leadership to prepare the Annual CEO Certification report required under FINRA Rule 3130, along with other annual compliance requirements.
Help assess external regulatory developments and changes in laws affecting Marketing.
Oversee review of all marketing and sales materials and communications, including social content. Administer and manage electronic communications surveillance to ensure the vendor platform is used effectively, and ensure all required communications are properly retained across all sources used by the firm.
Support HR and other departments during onboarding of new hires, ensuring questionnaires and attestations are completed in a timely manner, and handling related functions such as Form U-4, fingerprinting, disclosures, outside business activities (OBAs), political activity disclosures (PAD), and onboarding training.
Support ongoing enhancements to the compliance program in response to evolving regulatory requirements and business changes, including participation in regulatory examinations, audits, and inquiries.
What We're Looking For
Series 7 and 24 qualifications, with the ability to obtain additional licenses quickly.
At least 5 years of proven experience in a retail fintech Broker Dealer compliance department, including direct experience working with regulators.
Comprehensive understanding of applicable laws, regulations, requirements, and industry practices.
Previous experience implementing a Broker Dealer compliance program.
Strong intuitive and strategic thinking abilities.
Strong problem-solving skills and the ability to think quickly.
Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and take on challenging assignments.
Ability to work independently while managing multiple complex projects at once.
Salary Range
USD 83,400 - 166,800 per year
About Kraken
Kraken is a leading US-based cryptocurrency exchange, committed to providing secure, innovative, and reliable trading tools for digital assets. Our mission is to accelerate the global adoption of cryptocurrency by building a more open, free, and compliant financial system. We empower individuals and institutions alike with robust platforms designed for exceptional performance and peace of mind, operating at the forefront of financial technology and regulatory adherence. Our culture at Kraken is built on principles of autonomy, transparency, and a relentless pursuit of excellence. We foster an environment where passionate, talented individuals can thrive, take ownership of their work, and contribute to groundbreaking advancements in the blockchain space. Collaboration is key, and we champion diverse perspectives to solve complex challenges, ensuring our team members feel valued, supported, and continuously challenged to grow. Joining Kraken means becoming part of a dynamic team that is redefining the future of finance from our US base. We offer unparalleled opportunities for professional development, the chance to work on high-impact projects, and a direct role in shaping an industry poised for exponential growth. If you are eager to make a significant impact, innovate alongside some of the brightest minds, and build solutions that will change the world, explore our 121 open positions and discover where you belong.
Ready to Apply?
To submit your application for this position, please visit Kraken's official website and follow their application process.