Principal Associate, Compliance

Job not on LinkedIn

🔥 1 minute ago

🇺🇸 United States – Remote

💵 $83.4k - $166.8k / year

⏰ Full Time

🟡 Mid-level

🚔 Compliance

👻 Ghost score 4%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Kraken Digital Asset Exchange

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2011

₿ Crypto

💸 Finance

💳 Fintech

Crypto • Finance • Fintech

Kraken Digital Asset Exchange is a cryptocurrency platform that facilitates the buying and selling of over 200 cryptocurrencies, including Bitcoin, Ethereum, and many others. Founded in 2011, Kraken provides a comprehensive suite of features for both beginner and advanced traders, such as advanced trading interfaces and margin trading. The platform emphasizes industry-leading security, deep liquidity, and 24/7 customer support, making it a trusted choice for users worldwide. Kraken caters to individual investors as well as institutional clients, offering services like OTC trading and custody. The company is committed to transparency with its proof of reserves and mission-driven values. Kraken operates globally, supporting clients in over 190 countries, with a quarterly trading volume exceeding $207 billion. However, users are advised of the high risk of crypto investments and the lack of regulation in some jurisdictions.

📋 Description

• Assist in executing Broker Dealer compliance and risk assessment programs, including compliance, testing, monitoring, surveillance, and regulatory adherence • Oversee, address, and remediate daily KYC, CIP, suitability, PEP, and sanctions flags • Identify policy and procedural enhancements and test control effectiveness • Oversee and update written supervisory procedures, surveillance programs, testing programs, and employee education programs • Monitor and challenge reporting, escalation, and timely remediation of compliance risk issues and regulatory matters • Handle complaints and monthly, quarterly, and ongoing reporting • Prepare and coordinate the Annual CEO Certification report under FINRA Rule 3130 and other annual requirements • Assess external regulatory activity and changes affecting Marketing • Review marketing and sales materials and communications, including social content • Manage compliance reviews of electronic communications surveillance and retention of required written communications • Support HR and business departments with new-hire onboarding, questionnaires, attestations, U-4, fingerprinting, disclosures, OBAs, PAD, and onboarding training • Enhance the compliance program in response to regulatory and business changes • Participate in responses to regulatory examinations, audits, and inquiries

🎯 Requirements

• Series 7 and 24 qualifications and ability to obtain others quickly • Minimum of 5 years 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 • Problem-solving and quick-thinking ability • 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

🏖️ Benefits

• Bonus program • Equity program • Wellness allowance • Medical insurance • Dental insurance • Vision insurance • 401(k) • Global and diverse work environment