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 teamFounded 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.
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 all sources used by the firm.
Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable time frame. Performing required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training, etc.
Support compliance program enhancements in response to evolving regulatory requirements and business changes. Participating in firm responses to regulatory examinations, audits and inquiries.
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.
Unless a specific application deadline is stated in the job posting, applications are accepted on an ongoing basis.
Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution.
We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance.
Our commitmentPayward is powered by people from around the world and we celebrate the diverse talents, backgrounds, contributions, and unique perspectives that everyone brings to the table. We hire based on merit, seeking out people with the right abilities, knowledge, and skills for the job. We encourage you to apply for roles where you don't fully meet the listed requirements, especially if you're passionate or knowledgeable about crypto.
We may ask candidates to complete job-related skills or work-style assessments as part of our hiring process. These assessments evaluate competencies relevant to the role and are applied consistently across candidates for similar positions. Results are considered alongside experience and interviews, and are not the sole basis for any employment decision.
As an equal opportunity employer, we don't tolerate discrimination or harassment of any kind, whether based on race, ethnicity, age, gender identity, citizenship, religion, sexual orientation, disability, pregnancy, veteran status, or any other protected characteristic as outlined by federal, state, or local laws.
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Skills Required
- Series 7 qualification
- Series 24 qualification
- Ability to obtain additional securities qualifications quickly
- At least 5 years of experience in a retail fintech broker-dealer compliance department
- Experience working with regulators
- Comprehensive understanding of applicable laws, regulations, requirements, and industry practices
- Experience implementing a broker-dealer compliance program
- Strategic and intuitive problem-solving ability
- Ability to negotiate, collaborate, adapt to change, and make difficult decisions
- Ability to work independently and manage multiple complex projects simultaneously
Kraken Digital Asset Exchange Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Kraken Digital Asset Exchange and has not been reviewed or approved by Kraken Digital Asset Exchange.
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Fair & Transparent Compensation — Pay is considered competitive for many roles, with strong total compensation reported for in‑demand technical and senior positions. Market‑aligned packages are highlighted across key functions, indicating the ability to reach top‑of‑market for certain hires.
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Equity Value & Accessibility — Equity grants are available for most roles, complemented by bonus programs and the option to receive a portion of pay in crypto. This ownership‑oriented design is positioned as part of the standard total compensation approach.
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Flexible Benefits — A remote‑first operating model, flexible time off, and a remote‑workstation setup bonus emphasize autonomy and location flexibility. Core benefits are framed to support distributed work across multiple regions.
Kraken Digital Asset Exchange Insights
What We Do
Kraken is one of the world’s longest-standing and most secure crypto platforms. Our mission is to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. Globally, Kraken clients trade more than 200 digital assets and 6 different national currencies, including GBP, EUR, USD, CAD, CHF, and AUD. Kraken was founded in 2011 and was one of the first platforms to offer spot trading with margin,, staking, regulated derivatives and index services. Trusted by over 10 million individuals, traders and institutions around the world, Kraken offers professional 24/7/365 client support along with one of the fastest, most performant trading platforms available. Kraken has set the industry standard for transparency and client trust, and was the first crypto platform to conduct Proof of Reserves. In 2024, Kraken ranked 12th in Newsweek's Global Top 100 list of Most Loved Workplaces. This recognition reflects our ongoing commitment to providing a flexible workplace that prioritizes wellbeing and career development. Kraken prioritizes client-centricity, security, and superior products, valuing merit and encouraging bold ideas within a transparent communication framework. Kraken offers a flexible, asynchronous, and globally remote work culture, allowing its employees (aka Krakenites) to balance team and personal needs. Kraken provides diverse learning and development programs, enabling Krakenites to chart their own professional paths in the crypto industry. Benefits include globally competitive compensation (with crypto payment options), flexible time off, wellness perks, and annual team retreats. Kraken's collaborative culture promotes authenticity, humility, and respect, encouraging candid interactions and valuing diverse perspectives from its global team. Crypto conviction is central to Kraken's ethos, driving product and service development. The company views challenges as opportunities for creative problem-solving, remaining adaptable in the fast-paced crypto industry. Kraken seeks individuals with an entrepreneurial spirit and a curious, self-starting approach to complex problems. The company fosters a culture of accountability and clear communication, valuing critical feedback for continuous improvement. Overall, Kraken's EVP reflects its commitment to building a bridge from traditional finance to crypto, both in its broader mission and in supporting employees transitioning to crypto careers.
Why Work With Us
Work at Kraken to be part of a mission-driven crypto revolution. Enjoy a flexible, remote-first culture that values bold ideas. Grow your career with competitive benefits and diverse learning opportunities. Join a collaborative team that embraces innovation, accountability, and globally inclusive perspectives.
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