Chief Compliance Officer
6.0/10
Kraken
Not specified
Remote
lead
about 2 months ago
cryptofintech
AI Summary
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Description
What you'll do
- •Design and maintain compliance policies to prevent violations of the Advisers Act.
- •Oversee regulatory filings and ensure compliance with state and federal requirements.
- •Serve as primary liaison with regulatory bodies during examinations.
- •Manage conflicts of interest and ensure fiduciary duty.
- •Oversee AML and KYC programs.
Conditions
- •Remote work with a global team.
- •Opportunity to work in a mission-driven company.
- •Diverse and inclusive work environment.
- •Ongoing application acceptance.
Requirements
- •5–10 years of compliance experience in investment management.
- •Deep knowledge of the Investment Advisers Act and SEC regulations.
- •Experience managing SEC examinations.
- •Strong understanding of fiduciary duty and compliance program design.
- •Excellent communication skills.
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