Senior Broker-Dealer Compliance Lead

Kraken; United States; Remote; USD 120,000 - 180,000; Full time

Job summary

Kraken Securities, the U.S. Broker Dealer arm, seeks a Senior Compliance Associate to help the Chief Compliance Officer ensure ongoing regulatory compliance across FINRA, SEC and state rules.

You will implement and oversee the Broker Dealer compliance program, manage KYC/CIP, sanctions and disclosures, and drive surveillance, reporting, and training programs. You will coordinate with leadership on annual FINRA certifications, support marketing compliance, and assist with regulatory examinations

Qualifications

• Series 7 and 24 qualifications and the 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 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.

Responsibilities

• 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, Sanctions and related areas while helping identify policy and procedural enhancements and staying aware of regulatory developments.
• Oversee and update written supervisory procedures, surveillance, testing programs, and employee education programs including addressing concerns from testing results.
• Monitor and challenge reporting, escalation and remediation of regulatory matters regarding compliance risk management and complaint handling.
• Prepare and coordinate with leadership on the Annual CEO Certification report per FINRA Rule 3130 and other annual requirements.
• Assist with assessment of external regulatory activity and changes in laws affecting Marketing.
• Oversee review of all marketing and sales material and communications; manage compliance reviews of electronic communications surveillance; ensure retention of written communications from all sources.
• Support HR onboarding, attestations and onboarding training; participate in firm responses to examinations and inquiries.

Skills

Series 7/24

Fintech compliance

Regulatory knowledge

Compliance program implementation

Strategic thinking

Problem solving

Stakeholder collaboration

Multitasking

Job description

Kraken Securities, the U.S. Broker Dealer arm, seeks a Senior Compliance Associate to help the Chief Compliance Officer ensure ongoing regulatory compliance across FINRA, SEC and state rules.

You will implement and oversee the Broker Dealer compliance program, manage KYC/CIP, sanctions and disclosures, and drive surveillance, reporting, and training programs. You will coordinate with leadership on annual FINRA certifications, support marketing compliance, and assist with regulatory examinations