Chief Compliance Officer, Kraken

• The ideal candidate will have extraordinary attention to detail, strong analytical skills, and a genuine interest in derivatives, digital assets, and regulatory frameworks
• Bachelor's degree
• 7+ years of experience in a financial services regulatory and compliance environment, such as at an exchange/MTF, trading firm, or regulator, with significant exposure to derivatives
• Deep understanding of the Commodity Exchange Act, related CFTC regulations, the Bank Secrecy Act (AML/KYC), and compliance best practices. Experience with compliance requirements of foreign jurisdictions is a plus
• Knowledge of exchange traded financial products and markets, understanding of trading strategies and market surveillance systems, and digital assets
• Proven ability to manage compliance functions
• Must be initiative-taking, flexible, innovative, and adaptive

Desirable

• The Exchange's Regulatory Team plays a critical role in ensuring the Exchange operates in full compliance with all applicable laws, regulations, and internal policies
• The team is responsible for managing all aspects of regulatory compliance, including market surveillance, investigations and disciplinary proceedings, regulatory audits and exams, cybersecurity and system safeguards testing, regulatory filings and rule updates, and maintaining and enforcing Exchange policies and procedures
• This role is responsible for ensuring the Exchange’s compliance with applicable laws, regulatory requirements, and internal policies
• Program Management: Develop, Implement, and enforce a comprehensive and effective compliance program designed to meet all federal and state regulatory requirements applicable to CFTC-registered Designated Contract Markets, including the Commodity Exchange Act, Bank Secrecy Act, and emerging regulations applicable to digital assets
• Regulatory Filings and Annual Report: Coordinate the timely preparation and submission of required regulatory filings; prepare Annual CCO Report
• Risk Assessment: Conduct and document compliance and operational risk assessments; identify potential areas of vulnerability and implement corrective action plans
• Policies and Procedures: Create, update, and enforce the firm's compliance policies and procedures, ensuring they are well-documented and reflect best practices
• Investigations: Investigate and document compliance-related inquiries and issues, escalating to CRO when necessary
• Compliance Calendar: Develop and maintain a system for tracking and reporting compliance-related requirements; ensure the timely preparation and completion of requisite regulatory filings and reports, risk assessments, and updates to policies and procedures
• Market Surveillance: Train and supervise Market Surveillance employees conducting real time and T+1 market surveillance
• Training: Develop and deliver compliance training for all personnel
• The role requires a specialized understanding of US regulatory frameworks. This role will report directly to the Chief Regulatory Officer