83K–167K USD / year
Principal Associate Compliance
LegalRemote — United States
Published on 2026-10-27
These details were extracted automatically from the original listing. They may not be complete or fully up to date — it's worth checking the original job post.
About this role
Support Kraken Securities’ Chief Compliance Officer in maintaining the U.S. broker-dealer’s compliance with FINRA, SEC, and state regulations. The role covers compliance monitoring, supervisory procedures, marketing reviews, employee onboarding, and responses to regulatory examinations.
About the company
Kraken is a leading cryptocurrency exchange that provides a platform for buying, selling, and trading a diverse range of digital assets. The company focuses on compliance, security, and innovative financial solutions to serve both individual and institutional clients.
The team
Compliance team supporting Kraken Securities, the U.S. broker-dealer entity of Kraken.
What you'll do
- Execute broker-dealer compliance, risk assessment, testing, monitoring, and surveillance programs.
- Review and remediate KYC, CIP, suitability, PEP, and sanctions alerts.
- Maintain written supervisory procedures, surveillance and testing programs, and employee education.
- Track and escalate compliance issues, deficiencies, complaints, and regulatory matters.
- Coordinate the annual CEO Certification report under FINRA Rule 3130 and other annual requirements.
- Review marketing, sales, and social media communications and oversee electronic communications surveillance and retention.
- Support employee onboarding and required registrations, disclosures, attestations, and training.
- Support regulatory examinations, audits, inquiries, and compliance program enhancements.
What we're looking for
- Series 7 and Series 24 qualifications; ability to obtain additional qualifications quickly.
- At least five years of experience in a retail fintech broker-dealer compliance department and working with regulators.
- Comprehensive knowledge of applicable laws, regulations, and industry practices.
- Experience implementing a broker-dealer compliance program.
- Ability to manage complex projects independently, collaborate, adapt, and make difficult decisions.
Benefits
- Bonus program
- Equity program
- Wellness allowance
- Medical, dental, and vision coverage
- 401(k)