Chief Compliance Officer
8.0/10
Kraken Adviser LLC
$110,400 – $220,800 USD
Remote
senior
3 days ago
compliancecryptofintechweb3SEC regulationsInvestment Advisers Act of 1940Investment Company Act of 1940Compliance TechnologyAMLKYCCybersecurity
AI Summary
The vacancy is well-structured with clear responsibilities and requirements, though some areas could benefit from additional detail.
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Description
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.
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).
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.
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