Principal Associate, Compliance

Kraken Digital Asset Exchange

. Assist in executing Broker Dealer compliance and risk assessment programs, including compliance, testing, monitoring, surveillance, and regulatory adherence .

Posted 10/27/2026full-timeRemote • United StatesMid-Level💰 $83,400 - $166,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Broker Dealer compliance, risk assessment, and regulatory adherence, with a strong focus on KYC, CIP, and suitability processes. Proven ability to enhance compliance programs and manage complex projects while collaborating effectively with various stakeholders.

Highest-signal resume keywords

Series 7 QualificationSeries 24 QualificationBroker Dealer Compliance Program ImplementationRegulatory Examination ParticipationKYC and CIP Oversight

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance TestingRegulatory AdherenceSurveillance ProgramsPolicy EnhancementControl Effectiveness TestingComplaint HandlingReporting CoordinationEmployee Education ProgramsElectronic Communications SurveillanceRegulatory Activity Assessment

Soft Skills

Problem-SolvingStrategic ThinkingNegotiationCollaborationAdaptability

Certifications & Qualifications

Series 7Series 24

Industry Keywords

Broker DealerFintechKYCCIPPEPSanctionsRegulatory ComplianceFINRA Rule 3130Retail ComplianceRegulatory Requirements

About the role

Key responsibilities & impact

Assist in executing Broker Dealer compliance and risk assessment programs, including compliance, testing, monitoring, surveillance, and regulatory adherence
Oversee, address, and remediate daily KYC, CIP, suitability, PEP, and sanctions flags
Identify policy and procedural enhancements and test control effectiveness
Oversee and update written supervisory procedures, surveillance programs, testing programs, and employee education programs
Monitor and challenge reporting, escalation, and timely remediation of compliance risk issues and regulatory matters
Handle complaints and monthly, quarterly, and ongoing reporting
Prepare and coordinate the Annual CEO Certification report under FINRA Rule 3130 and other annual requirements
Assess external regulatory activity and changes affecting Marketing
Review marketing and sales materials and communications, including social content
Manage compliance reviews of electronic communications surveillance and retention of required written communications
Support HR and business departments with new-hire onboarding, questionnaires, attestations, U-4, fingerprinting, disclosures, OBAs, PAD, and onboarding training
Enhance the compliance program in response to regulatory and business changes
Participate in responses to regulatory examinations, audits, and inquiries

Requirements

What you’ll need

Series 7 and 24 qualifications and 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-solving and quick-thinking ability
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

Benefits

Comp & perks

Bonus program
Equity program
Wellness allowance
Medical insurance
Dental insurance
Vision insurance
401(k)
Global and diverse work environment