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Kraken · 4 hours ago

Sr. Compliance Associate - Equities

United States

Full-time

Remote

Senior Level

$73K/yr - $145K/yr

5+ years exp

Kraken is a mission-focused company rooted in crypto values, seeking to accelerate the global adoption of crypto. The Sr. Compliance Associate will oversee compliance and risk assessment programs for a retail equities/ETF and option platform, ensuring adherence to FINRA, SEC, and state regulations.

BitcoinBlockchainCryptocurrencyEthereum

Growth Opportunities

Responsibilities

Assist in the execution of the Broker Dealer compliance and risk assessment programs. Compliance, testing, monitoring, surveillance and adherence to all other relevant and applicable laws and regulations

Overseeing, addressing and remediating daily flags in KYC, CIP, Suitability, PEP, Sanctions while assisting in identifying policy and procedural enhancements and maintain awareness of company goals, regulatory developments and industry trends and testing the effectiveness of controls

Oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs including reviewing and addressing concerns from compliance testing results

Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management. Complaint handling and monthly, quarterly and other ongoing reporting/ handling

Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements

Assists with assessment of 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 the compliance reviews of the electronic communications surveillance process to ensure the vendor platform is being used in an effective and efficient way as needed. Further ensuring all required written communications are being 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 time frame. Performing required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training, etc

Support compliance program enhancements in response to evolving regulatory requirements and business changes. Participating in firm responses to regulatory examinations, audits and inquiries

Qualification

Series 7Series 24Broker Dealer complianceRetail fintech experienceRegulatory knowledgeProblem solvingStrategic thinkingCollaborationAdaptabilityIndependent work