The Chief Compliance Officer is responsible for developing, implementing, administering, and enforcing the firm’s compliance program in accordance with the Advisers Act and all other applicable federal and state securities laws and regulations
Job Summary
The Chief Compliance Officer is responsible for developing, implementing, administering, and enforcing the firm’s compliance program in accordance with the Advisers Act and all other applicable federal and state securities laws and regulations.
This role requires deep knowledge of the regulatory framework governing registered investment advisers, strong independent judgment, and the ability to balance regulatory obligations with business objectives.
Kraken is a mission-focused company rooted in crypto values, aiming to accelerate the global adoption of crypto for financial freedom and inclusion.
Matching Summary
The Chief Compliance Officer is responsible for developing, implementing, administering, and enforcing the firm’s compliance program in accordance with the Advisers Act and all other applicable federal and state securities laws and regulations.
Skills & Requirements
Must-have
Investment Advisers Act of 1940
SEC-registered investment adviser regulation
Compliance program design and administration
Regulatory filings and reporting
SEC examination readiness
Fiduciary duty and conflict management
Nice-to-have
Fintech or robo-adviser experience
Digital asset investment management
Crypto conviction and ethos
Familiarity with CFTC regulations
Key Requirements
5-10 years compliance, legal, or regulatory experience
SEC-registered investment adviser experience
Juris Doctor (JD) or other advanced degree preferred