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About the role
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. Found on 1752vc Careers, the job board for startup and VC roles.
What they're looking for
- 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
More about this role
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.
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.
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...
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