Principal Associate Compliance
This is the employer's own posting, not a copy on a job board.
What we know
Is it still open?
Confirmed still open
Last checked 2d ago — checked against the employer's own applicant tracking system, which is the company answering directly.
We re-read the employer's own applicant tracking system and the posting was still there. That is the company answering directly.
How old is it?
Posted 6d ago
The date the source published, not the day we noticed it (2026-10-27). Last seen at its source 4h ago.
We have tracked this listing since 27 Oct 2026 (6 days). The employer's own board has carried it every time we have read it, most recently 4 hours ago.
Is it remote?
Marked remote on the employer's board
Their board carries a remote setting on this posting — a field they filled in, not wording we read. The location field names somewhere specific, which is usually where the team or the entity sits.
Who may apply?
United States
The description states no restriction of its own. This is the source's own tag.
Pay
$83.4k–166.8k/yr
Published by the source in its own salary field. Shown in the posting's own currency and period; we never convert.
Skills named in the ad
Recognised terms only, from a fixed vocabulary — this is what CV matching compares against.
Carried by 1 source
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Ashby employer's own board first seen 6d ago · last seen 4h ago
The listing
Payward - the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks - has spent the last 15 years building one of the most modern and globally accessible financial infrastructure platforms in the industry, built to advance an open, global financial system.
The team
Founded in 2011, Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions across the globe. It offers spot trading, margin, futures, staking, and OTC services, with products built for both individual investors and institutional clients.
Kraken Securities is the U.S. Broker Dealer entity of Kraken. The Senior Compliance Associate will support the existing CCO to ensure the Broker Dealer stays in compliance with all applicable FINRA, SEC and state regulations.
The opportunity
Assist in the execution of the Broker Dealer compliance and risk assessment programs. Compliance, testing, monitoring, surveillance and adherence to all other relevant and applicable laws and regulations.
Overseeing, addressing and remediating daily flags in KYC, CIP, Suitability, PEP, Sanctions while assisting in identifying policy and procedural enhancements and maintaining awareness of company goals, regulatory developments and industry trends while testing the effectiveness of controls.
Oversee and update the written supervisory procedures, surveillance program, testing programs, and the employee education programs including reviewing and addressing concerns from compliance testing results.
Monitor and challenge the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management. Complaint handling and monthly, quarterly and other ongoing reporting/ handling.
Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements.
Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing.
Oversee the review of all marketing and sales material and communications (including social content). Administer and manage the compliance reviews of the electronic communications surveillance process to ensure the vendor platform is being used in an effective and efficient way as needed. Further ensuring all required written communications are being retained, from all sources used by the firm.
Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable time frame. Performing required functions such as U-4, fingerprinting, disclosures, OBAs, PAD, onboarding training, etc.
Support compliance program enhancements in response to evolving regulatory requirements and business changes. Participating in firm responses to regulatory examinations, audits and inquiries.
What you bring
Series 7 and 24 qualifications and the ability to obtain others quickly.
Minimum of 5 years proven experience in a retail fintech Broker Dealer compliance department and working with regulators.
Comprehensive understanding of applicable laws, regulations and requirements, including industry practices.
Previous experience implementing a Broker Dealer compliance program.
Ability to think intuitively and strategically.
Problem solver and quick thinker.
Ability to negotiate and collaborate with others, adapt to change, make difficult decisions, and accept challenging assignments.
Ability to work independently and manage multiple complex projects simultaneously.
Unless a specific application deadline is stated in the job posting, applications are accepted on an ongoing basis.
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.
Our commitmentPayward is powered by people from around the world and we celebrate the diverse talents, backgrounds, contributions, and unique perspectives that everyone brings to the table. We hire based on merit, seeking out people with the right abilities, knowledge, and skills for the job. We encourage you to apply for roles where you don't fully meet the listed requirements, especially if you're passionate or knowledgeable about crypto.
We may ask candidates to complete job-related skills or work-style assessments as part of our hiring process. These assessments evaluate competencies relevant to the role and are applied consistently across candidates for similar positions. Results are considered alongside experience and interviews, and are not the sole basis for any employment decision.
As an equal opportunity employer, we don't tolerate discrimination or harassment of any kind, whether based on race, ethnicity, age, gender identity, citizenship, religion, sexual orientation, disability, pregnancy, veteran status, or any other protected characteristic as outlined by federal, state, or local laws.
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