Sr. Compliance Associate - Equities

Kraken(2 months ago)

RemoteFull TimeSenior$72,600 - $145,200Compliance

About this role

The Sr. Compliance Associate - Equities at Kraken is responsible for ensuring compliance with relevant SEC, FINRA, and state regulations for the company's retail equities/ETF and option platform. This role includes executing compliance and risk assessment programs, overseeing KYC and suitability processes, managing daily issue flags, and updating supervisory procedures. The position requires collaboration with various departments, support for regulatory examinations, and a strong understanding of fintech compliance requirements, alongside maintaining regulatory reporting obligations and enhancing compliance procedures in response to evolving regulations.

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Required Skills

Compliance Analysis
Risk Assessment
Regulatory Compliance
KYC
CIP
Suitability
PEP
Sanctions
Policy Enhancement
Surveillance Program

+17 more

Qualifications

Series 7
Series 24

About Kraken

www.kraken.com

Kraken is a leading global cryptocurrency exchange that provides a platform for trading a wide variety of digital assets, including Bitcoin, Ethereum, and many others. Established in 2011, Kraken is known for its strong security measures, robust market liquidity, and user-friendly interface. The exchange offers advanced trading features, margin trading capabilities, and educational resources to support both novice and experienced traders. With a commitment to compliance and regulatory transparency, Kraken has established itself as a trusted choice for cryptocurrency enthusiasts and investors.