Principal Associate Compliance

The role

The Senior Compliance Associate will support the CCO to ensure the Broker Dealer stays in compliance with FINRA, SEC and state regulations. This role involves executing compliance and risk assessment programs, overseeing daily flags, and updating supervisory procedures.

What you will do

• Assist in the execution of the Broker Dealer compliance and risk assessment programs.
• Oversee, address and remediate daily flags in KYC, CIP, Suitability, PEP, Sanctions.
• Oversee and update written supervisory procedures, surveillance programs, testing programs, and employee education programs.
• Monitor and challenge the reporting, escalation, and timely remediation of compliance risk management issues.
• Prepare and coordinate the Annual CEO Certification report as specified in FINRA Rule 3130.
• Assist with assessment of external regulatory activity and changes in laws impacting Marketing.
• Oversee the review of all marketing and sales material and communications.
• Administer and manage compliance reviews of the electronic communications surveillance process.
• Support HR and other business departments by onboarding new hires.
• Support compliance program enhancements and participate in regulatory examinations, audits and inquiries.

Required qualifications

• Series 7 and 24 qualifications.
• 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.

Nice to have

• passionate or knowledgeable about crypto

Before you apply

• Applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance or graduation.
• Candidates may be asked to complete job-related skills or work-style assessments.

About the company

Payward is the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks. Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions.