[Remote] Sr. Compliance Associate - Equities at Kraken

United States

Not SpecifiedCompensation

N/AExperience Level

N/AJob Type

Not SpecifiedVisa

N/AIndustries

Requirements

Broker dealer and investment advisor experience
Experience in a compliance role
Knowledge of FINRA, SEC, and state regulations
Strong analytical and problem-solving skills
Ability to work in a fast-paced environment
Strong communication and interpersonal skills
Ability to prioritize and manage multiple tasks and projects
Experience with compliance testing, monitoring, and surveillance
Familiarity with regulatory developments and industry trends
Ability to maintain confidentiality and handle sensitive information

Responsibilities

Assist in the execution of the Broker Dealer compliance and risk assessment programs
Oversee and address daily flags in KYC, CIP, Suitability, PEP, Sanctions
Identify policy and procedural enhancements and maintain awareness of company goals, regulatory developments, and industry trends
Oversee and update written supervisory procedures, surveillance program, testing programs, and employee education programs
Monitor and challenge reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters
Prepare and coordinate the Annual CEO Certification report as specified in FINRA Rule 3130
Assist with assessment of external regulatory activity and changes in laws and regulations impacting Marketing
Oversee review of all marketing and sales material and communications
Administer and manage compliance reviews of electronic communications surveillance process
Support HR and other business departments with onboarding new hires and ensuring compliance with regulatory requirements
Participate in firm responses to regulatory examinations and support compliance program enhancements in response to evolving regulatory requirements and business changes

Kraken

Cryptocurrency exchange for buying and trading

About Kraken

Kraken is a cryptocurrency exchange platform that allows users to buy, sell, and trade various digital assets. It offers features that cater to both beginners and experienced traders, making it easy to navigate the cryptocurrency market. Users can execute trades with high liquidity, which means their transactions are completed quickly. The platform charges low transaction fees, sometimes as low as 0%, helping users keep more of their profits. Kraken also provides advanced charting tools to help investors track their investments effectively. Security is a major focus, with multiple protective measures in place to keep user assets safe. The platform supports 70 different asset pairs and is continuously expanding its offerings. Additionally, Kraken offers 24/7 global support to assist users with any questions or issues.

San Francisco, CaliforniaHeadquarters

2011Year Founded

$108.5MTotal Funding

SERIES_CCompany Stage

Crypto & Web3, Financial ServicesIndustries

501-1,000Employees

Benefits

Competitive salary and equity plan

401k contribution plan

Vacation & Generous PTO

Paid Tranings

Risks

Increased competition from Binance and Coinbase could impact Kraken's market share.

Regulatory scrutiny in the EU may raise Kraken's compliance costs.

The volatility of cryptocurrency prices can affect Kraken's revenue from transaction fees.

Differentiation

Kraken offers both spot and futures trading for over 40 digital assets.

The platform provides advanced charting tools for professional traders and technical analysts.

Kraken's 24/7 global support ensures assistance for users at any time.

Upsides

Kraken's acquisition of Staked enhances its staking services for consumers and institutions.

Sponsorship deals with major soccer clubs boost Kraken's visibility and brand recognition.

The rise of crypto derivatives attracts advanced traders to Kraken's sophisticated tools.

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