Principal Associate Compliance

As a Principal Associate Compliance at Kraken Securities, you support the Chief Compliance Officer to ensure the Broker Dealer stays compliant with all applicable FINRA, SEC, and state regulations. Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions, offering spot trading, margin, futures, staking, and OTC services.

What you'll do

• Assist in executing the Broker Dealer compliance and risk assessment programs, including compliance testing, monitoring, surveillance, and adherence to all relevant and applicable laws and regulations
• Oversee, address, and remediate daily flags in KYC, CIP, Suitability, PEP, and Sanctions, while identifying policy and procedural enhancements and testing the effectiveness of controls
• Oversee and update written supervisory procedures, surveillance programs, testing programs, and employee education programs, including reviewing and addressing concerns from compliance testing results
• Monitor and challenge the reporting, escalation, and timely remediation of compliance issues, deficiencies, or regulatory matters. Handle complaints and manage monthly, quarterly, and other ongoing reporting
• Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 and other annual requirements
• Assess external regulatory activity and changes in laws and regulations impacting marketing
• Oversee the review of all marketing and sales material and communications, including social content. Administer and manage compliance reviews of the electronic communications surveillance process and ensure all required written communications are retained from all sources used by the firm
• Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable timeframe, performing required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training, and others
• Support compliance program enhancements in response to evolving regulatory requirements and business changes, and participate in firm responses to regulatory examinations, audits, and inquiries

What you bring

• Series 7 and Series 24 qualifications, with the ability to obtain others quickly
• Minimum 5 years of proven experience in a retail fintech Broker Dealer compliance department and working with regulators
• Comprehensive understanding of applicable laws, regulations, and requirements, including industry practices
• Previous experience implementing a Broker Dealer compliance program
• Ability to think intuitively and strategically
• Strong problem-solving and quick-thinking skills
• Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and accept challenging assignments
• Ability to work independently and manage multiple complex projects simultaneously

About Kraken

Payward, the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services, and CF Benchmarks, has spent 15 years building one of the most modern and globally accessible financial infrastructure platforms in the industry. Founded in 2011, Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions globally.