The vacancy is well-structured with clear responsibilities and requirements, though some areas could benefit from additional detail.
Job description
Kraken is a mission-focused company rooted in crypto values, aiming to accelerate the global adoption of crypto and achieve financial freedom and inclusion. As a fully remote company with Krakenites in 70+ countries, we develop premium crypto products for traders, institutions, and newcomers, committed to industry-leading security, education, and client support through products like Kraken Pro, Desktop, Wallet, and Kraken Futures.
Responsibilities
### Key Responsibilities
- Develop, implement, administer, and enforce the firm’s compliance program.
- Serve as the primary point of contact with the U.S. Securities and Exchange Commission and other regulatory bodies.
- Design, implement, and maintain the firm’s written compliance policies and procedures.
- Conduct annual reviews and identify regulatory risks.
- Oversee the firm’s Code of Ethics and regulatory filings.
- Maintain examination readiness and coordinate responses to inquiries.
- Identify, disclose, and manage conflicts of interest.
- Oversee best execution and proxy voting policies.
- Review marketing materials for compliance.
- Ensure maintenance of required books and records.
- Oversee electronic communications surveillance and document retention policies.
- Monitor client investment guidelines and custody requirements.
- Oversee the firm’s AML/KYC program and collaborate on cybersecurity compliance.
- Develop and deliver compliance training.
Requirements
### Qualifications
- Minimum of 5–10 years of progressive compliance, legal, or regulatory experience in the investment management industry.
- Deep working knowledge of the Investment Advisers Act of 1940 and SEC rules.
- Experience designing and administering compliance programs for SEC-registered investment advisers.
- Strong understanding of fiduciary duty and conflicts of interest management.
- Excellent written and verbal communication skills.
- Bachelor’s degree; Juris Doctor (JD) or other advanced degree is a plus.
- Experience with digital assets or cryptocurrency is a plus.
- Series 65 or Series 66 or equivalent designation is a plus.
- Familiarity with CFTC regulations is a plus.
Conditions
### What We Offer
- Target annual salary range of $110.4K – $220.8K.
- Equity and bonus opportunities.
- Wellness allowance and other benefits including medical, dental, vision, and 401(k).
About Kraken Adviser LLC
Kraken Adviser LLC is a web-based investment advisory firm that offers thematic, diversified “Combination Bundles” using ETFs, individual equities, and in some cases digital assets. Its advice and account management are delivered through Kraken’s platform, with automated rebalancing and no in-person or phone-based advisory service.