Chief Compliance Officer, Derivatives Exchange

Building the Future of Crypto Our Krakenites are a world-class team with crypto conviction, united by our desire to discover and unlock the potential of crypto and blockchain technology. What makes us different? Kraken is a mission-focused company rooted in crypto values. As a Krakenite, you’ll join us on our mission to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. For over a decade, Kraken’s focus on our mission and crypto ethos has attracted many of the most talented crypto experts in the world. Before you apply, please read the Kraken Culture page to learn more about our internal culture, values, and mission. We also expect candidates to familiarize themselves with the Kraken app. Learn how to create a Kraken account here. As a fully remote company, we have Krakenites in 70+ countries who speak over 50 languages. Krakenites are industry pioneers who develop premium crypto products for experienced traders, institutions, and newcomers to the space. Kraken is committed to industry-leading security, crypto education, and world-class client support through our products like Kraken Pro, Desktop, Wallet, and Kraken Futures. Become a Krakenite and build the future of crypto! Proof of work The team 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. The opportunity This role is responsible for ensuring the Exchange’s compliance with applicable laws, regulatory requirements, and internal policies. The ideal candidate will have extraordinary attention to detail, strong analytical skills, and a genuine interest in derivatives, digital assets, and regulatory frameworks.

• 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. Skills you should HODL
• 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. Nice to haves
• J.D. This job is accepting ongoing applications and there is no application deadline. Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution. We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. Kraken is powered by people from around the world and we celebrate all Krakenites for their diverse talents, backgrounds, contributions and unique perspectives. We hire strictly based

Apply tot his job Apply To this Job