Kraken Digital Asset Exchange

Chief Compliance Officer

Kraken Digital Asset Exchange

full-time

Posted on:

Location Type: Remote

Location: United States

Visit company website

Explore more

✨ AI Apply
Apply

Salary

💰 $83,400 - $166,800 per year

Job Level

Lead

About the role

  • Develop, implement, administer, and enforce the firm’s compliance program in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940 (the “Advisers Act”) and all other applicable federal and state securities laws and regulations.
  • Serve as the firm’s primary point of contact with the U.S. Securities and Exchange Commission, state securities regulators, and other regulatory bodies.
  • Design, implement, and maintain the firm’s written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and rules thereunder.
  • Conduct at least an annual review of the adequacy of the firm’s compliance policies and procedures and the effectiveness of their implementation, and document the results of that review.
  • Identify and assess regulatory risks across all business activities and develop controls to mitigate those risks.
  • Maintain and update the firm’s compliance manual to reflect changes in applicable laws, regulations, SEC staff guidance, and business operations.
  • Oversee the firm’s Code of Ethics, including pre-clearance and reporting of personal securities transactions, gifts and entertainment, outside business activities, and political contributions.
  • Oversee the preparation, review, and timely filing of Form ADV Parts 1, 2A (Brochure), 2B (Brochure Supplements), and Form CRS, including annual amendments and interim updates.
  • Ensure timely filings on any such applicable regulatory filings/ requirements including Form ADV, Form 13F, Form 13H, U4s, and U5s.
  • Serve as the primary liaison with the SEC’s Division of Examinations (formerly OCIE) and state securities regulators during routine examinations, inquiries, and investigations.
  • Develop and deliver initial and ongoing compliance training for all employees, including investment professionals, operations staff, and senior management.

Requirements

  • Minimum of 5–10 years of progressive compliance, legal, or regulatory experience in the investment management industry, with a significant portion focused on SEC-registered investment adviser regulation.
  • Deep working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 (if applicable), SEC rules and regulations, and relevant state securities laws.
  • Demonstrated experience designing, implementing, and administering compliance programs for SEC-registered investment advisers leveraging technology solutions.
  • Experience managing SEC examinations and responding to regulatory inquiries.
  • Strong understanding of fiduciary duty, conflicts of interest management, best execution, trade allocation, custody, and marketing compliance.
  • Excellent written and verbal communication skills, with the ability to translate complex regulatory requirements into practical business guidance.
  • Bachelor’s degree required; Juris Doctor (JD) or other advanced degree.
  • Prior fintech driven investment advisory experience.
  • Experience with digital assets, cryptocurrency, or emerging financial products is a plus.
  • Series 65 (Uniform Investment Adviser Law Examination) or Series 66 (Uniform Combined State Law Examination), or an equivalent qualifying designation recognized by NASAA (e.g., CFA, CFP, CAMS).
  • Prior experience as a CCO, Deputy CCO, or senior compliance officer at an SEC-registered investment adviser.
  • Familiarity with CFTC regulations, including Commodity Trading Adviser (CTA) and Commodity Pool Operator (CPO) requirements, is a plus.
  • Experience with compliance technology platforms.
Benefits
  • Offers Equity
  • Offers Bonus
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
compliance program developmentregulatory risk assessmentSEC examination managementcompliance training deliveryfiduciary duty understandingconflicts of interest managementbest executiontrade allocationcustody compliancemarketing compliance
Soft Skills
written communicationverbal communicationbusiness guidance translationorganizational skillsinterpersonal skills
Certifications
Series 65Series 66CFACFPCAMS