Chief Compliance Officer, Kraken Adviser LLC

Chief Compliance Officer, Kraken Adviser LLC 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 https://www.kraken.com/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 https://support.kraken.com/hc/en-us/articles/226090548-How-to-create-an-account-on-Kraken. 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 https://blog.kraken.com/crypto-education/security-at-kraken, crypto education https://blog.kraken.com/category/crypto-education, and world-class client support https://blog.kraken.com/crypto-education/support-at-kraken through our products like Kraken Pro https://pro.kraken.com/, Desktop https://www.kraken.com/desktop, Wallet https://www.kraken.com/wallet, and Kraken Futures https://www.kraken.com/features/futures. Become a Krakenite and build the future of crypto! PROOF OF WORK THE TEAM Kraken Adviser LLC’s Chief Compliance Officer is responsible for developing, implementing, administering, and enforcing 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. The CCO serves as the firm’s primary point of contact with the U.S. Securities and Exchange Commission, state securities regulators, and other regulatory bodies as applicable. The CCO must be a person of sufficient seniority and authority within the organization to compel adherence to the firm’s compliance policies and procedures. This role requires deep knowledge of the regulatory framework governing registered investment advisers, strong independent judgment, and the ability to balance regulatory obligations with business objectives. Experience working in a fintech, robo-adviser or a digital asset investment management firm is a plus. THE OPPORTUNITY Compliance Program Design and Administration - Design, implement, and maintain the firm’s written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and rules thereunder, as required by Rule 206(4)-7. - 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. Regulatory Filings and Reporting - 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 (depending on the firm's business), including Form ADV, Form 13F, Form 13H, U4s ... (truncated, view full listing at source)