Kraken
Principal Associate Compliance
$83K–$167K
United States · Remote · Principal · Full-time · Posted Oct 27, 2026
- Experience
- Minimum of 5 years.
About the job
Supports the U.S. broker-dealer’s compliance program, overseeing controls, regulatory obligations, communications reviews, and compliance reporting.
What you'll do
- Execute and enhance compliance, risk assessment, testing, monitoring, and surveillance programs; address and remediate daily compliance flags.
- Maintain supervisory procedures and employee education, oversee marketing and electronic communications reviews, and support onboarding compliance requirements.
- Coordinate regulatory reporting and responses, including the Annual CEO Certification report, examinations, audits, and inquiries.
What they ask for
- Series 7 and 24 qualifications, with ability to obtain others quickly.
- Minimum of 5 years of experience in a retail fintech Broker Dealer compliance department and working with regulators.
- Comprehensive understanding of applicable laws, regulations, requirements, and industry practices.
- Previous experience implementing a Broker Dealer compliance program.
Pay
$83.4K – $166.8K
Model-written summary · the original posting is authoritative