Sr. Compliance Associate - Equities

Building the Future of Crypto Our Krakenites are a world-class team with crypto conviction, united by our desire to discover and unlock the potential of crypto and blockchain technology. What makes us different? Kraken is a mission-focused company rooted in crypto values. As a Krakenite, you’ll join us on our mission to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. For over a decade, Kraken’s focus on our mission and crypto ethos has attracted many of the most talented crypto experts in the world. Before you apply, please read the Kraken Culture page to learn more about our internal culture, values, and mission. We also expect candidates to familiarize themselves with the Kraken app. Learn how to create a Kraken account here. As a fully remote company, we have Krakenites in 70+ countries who speak over 50 languages. Krakenites are industry pioneers who develop premium crypto products for experienced traders, institutions, and newcomers to the space. Kraken is committed to industry-leading security, crypto education, and world-class client support through our products like Kraken Pro, Desktop, Wallet, and Kraken Futures. Become a Krakenite and build the future of crypto! Proof of work The team Kraken Securities and Kraken Advisor are looking to immediately hire a Compliance Analyst with broker dealer and investment advisor experience. You will be responsible for overseeing a retail fully-disclosed equities/ ETF and option platform and robo-advisor. Kraken Securities is an SEC registered Broker Dealer, member FINRA and SIPC and intends to conduct business in all 53 states and territories. Kraken Advisor is a registered Investment Advisor with the SEC. This hire will support the existing CCO to ensure the newly created broker dealer stays in compliance with all applicable FINRA, SEC and state regulations. The opportunity • 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 Skills you should HODL • Series 7 and 24 required and ability to obtain others quickly • Minimum of 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 Broker Dealer compliance program required • Ability to think intuitively and strategically • Problem solver and quick thinker • 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 #LI-Remote This job is accepting ongoing applications and there is no application deadline. Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution. We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. Kraken is powered by people from around the world and we celebrate all Krakenites for their diverse talents, backgrounds, contributions and unique perspectives. We hire strictly based on merit, meaning we seek out the candidates with the right abilities, knowledge, and skills considered the most suitable for the job. We encourage you to apply for roles where you don't fully meet the listed requirements, especially if you're passionate or knowledgable about crypto! As an equal opportunity employer, we don’t tolerate discrimination or harassment of any kind. Whether that’s based on race, ethnicity, age, gender identity, citizenship, religion, sexual orientation, disability, pregnancy, veteran status or any other protected characteristic as outlined by federal, state or local laws. Stay in the know Follow us on Twitter Learn on the Kraken Blog Connect on LinkedIn Candidate Privacy Notice Apply tot his job