Principal Associate Compliance

Amit érdemes tudni

• Remote · Korlátozott
• Távmunka-megjelölés további földrajzi adat nélkül — nem automatikus igen.
• Szint: Lead
• Fizetés: nem közölt

Helyszín és jogosultság

Távmunka-megjelölés további földrajzi adat nélkül — nem automatikus igen.

Remote · United States

Megbízhatóság: 42%. A végső döntés a munkáltatóé – mindig olvasd el az eredeti hirdetést.

Pozíció

BUILDING THE FUTURE OF OPEN FINANCE

Payward - the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks - has spent the last 15 years building one of the most modern and globally accessible financial infrastructure platforms in the industry, built to advance an open, global financial system.

THE TEAM

Founded in 2011, Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions across the globe. It offers spot trading, margin, futures, staking, and OTC services, with products built for both individual investors and institutional clients.

Kraken Securities is the U.S. Broker Dealer entity of Kraken. The Senior Compliance Associate will support the existing CCO to ensure the Broker Dealer stays in compliance with all applicable FINRA, SEC and state regulations.

THE OPPORTUNITY

- 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, Suitability, PEP, Sanctions while assisting in identifying policy and procedural enhancements and maintaining awareness of company goals, regulatory developments and industry trends while testing the effectiveness of controls.

- Oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs including reviewing and addressing concerns from compliance testing results.

- Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management. Complaint handling and monthly, quarterly and other ongoing reporting/ handling.

- Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements.

- Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing.

- Oversee the review of all marketing and sales material and communications (including social content). Administer and manage the compliance reviews of the electronic communications surveillance process to ensure the vendor platform is being used in an effective and efficient way as needed. Further ensuring all required written communications are being retained, from

Rövidített kivonat. A teljes leírás és a jelentkezés a munkáltató oldalán érhető el.