--- title: 'Principal Associate Compliance at Kraken' canonical: 'https://feeny.ai/job/principal-associate-compliance-kraken-united-states-a461z459r74x' type: 'job' last_seen: '2026-10-30' --- # Principal Associate Compliance at Kraken - **Company:** [Kraken](https://feeny.ai/companies/kraken) - **Location:** United States - **Compensation:** $83k–$167k - **Employment:** full-time - **Work type:** remote - **Posted:** 2026-10-27 - **Last confirmed live:** 2026-10-30 - **Apply:** https://jobs.ashbyhq.com/kraken.com/2091eeb6-c0a3-4d7c-a355-e8c651eb3fd3 ## Job description Building the Future of Open Finance 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 commitment Payward 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. Stay connected [Follow us on Twitter](https://twitter.com/krakenfx) [Learn on the Kraken Blog](https://blog.kraken.com/#:~:text=Enter%20your%20email%20address) [Connect on LinkedIn](https://www.linkedin.com/company/kraken-exchange/) [Candidate Privacy Notice](https://www.kraken.com/legal/candidate-privacy-notice) ## About Kraken ## Company Overview - **One-liner**: Kraken is a global cryptocurrency exchange and technology platform that provides secure trading, custody, and financial services for retail and institutional clients. - **Entity Type**: Private (last known valuation ~$10B as of 2023; multiple funding rounds from investors including Tribe Capital, Bessemer Venture Partners, and others) - **Headquarters**: San Francisco, California, USA (operates as a fully remote-first organization) - **Founded**: 2011 - **Founders**: Jesse Powell (CEO) ## Core Business - Primary industry: Cryptocurrency exchange, digital asset custody, and financial technology. - Target customers: B2C (retail investors, professional traders) and B2B (institutions, family offices, hedge funds). - Mission: "Accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion." ## Products & Services - **Spot & Margin Trading**: Buy/sell 200+ cryptocurrencies with advanced order types and leverage. - **Kraken Pro**: Professional-grade trading interface for active traders with low fees and deep liquidity. - **Futures & Derivatives**: Regulated crypto derivatives trading (Kraken Futures) for institutional and qualified retail clients. - **Kraken Staking**: Earn rewards by staking supported assets directly on the platform. - **Kraken NFT Marketplace**: Buy, sell, and mint NFTs across multiple blockchains. - **Kraken Bank (US)**: Wyoming-chartered Special Purpose Depository Institution (SPDI) offering custody and banking services for digital assets. - **Kraken Wallet**: Self-custodial mobile wallet for managing crypto and NFTs. - **Kraken Institutional**: Dedicated suite for institutions including OTC trading, custody, and prime brokerage. ## Market Standing - **Valuation**: Not publicly disclosed; last reported private valuation of approximately $10 billion in a 2023 secondary transaction (conflicting reports suggest a lower valuation in 2024 due to market conditions). - **Key Metrics**: Over 10 million users globally; one of the longest-operating exchanges (since 2011); industry-first Proof of Reserves audit; $50+ billion in quarterly trading volume (estimated). - **Notable Investors/Partners**: Tribe Capital, Bessemer Venture Partners, Blockchain Capital, Fidelity, Human Capital, and others. - **Growth Signals**: Grew from ~3,000 to over 4,000+ employees since 2020; entered new markets (e.g., stock and ETF trading in 2024); expanded into NFT marketplace and bank charter; consistently ranked among top trusted exchanges by security and transparency. ## Competitive Advantages - **Security & Transparency**: Longest-running Proof of Reserves program; never suffered a major security breach; regulated in multiple jurisdictions (US, UK, EU, Canada). - **Global Remote Culture**: Fully remote-first since inception, hiring top talent from 70+ countries without location constraints. - **Crypto-Native**: Leadership deeply embedded in crypto ethos; products built for both beginners and advanced traders. - **Regulatory Compliance**: Licensed in key markets and operates a US bank, giving it an edge as regulatory scrutiny increases. ## Strategic Focus - **Expand Product Suite**: Moving beyond pure crypto into stocks, ETFs, and traditional finance integration (via Kraken Bank). - **Institutional Growth**: Doubling down on prime brokerage, custody, and OTC services to capture institutional flows. - **Global Licensing**: Securing regulatory approvals in more jurisdictions (e.g., EU MiCA, UK FCA) to serve local markets. - **Self-Custody & DeFi**: Investing in wallet infrastructure and decentralized finance capabilities for user sovereignty. ## Why Work Here - **Culture**: Kraken describes itself as "remote-first, not remote-friendly." Asynchronous communication, radical transparency, and extreme ownership are core. Team members from 70+ countries. - **Work Arrangement**: Fully remote globally; no headquarters attendance required. Flexible schedule with async workflows. - **Compensation & Benefits**: Competitive salary regardless of location; option to be paid in crypto; equity grants; flexible PTO; wellness program (fitness coach, wellbeing apps); mental health coaching for employees and dependents; remote workstation setup bonus. - **Hiring Process**: Structured, fully virtual process including CV screen, talent screen, role-specific interviews, and a practical case study. Emphasis on crypto conviction, self-starters, and collaborative humility. - **Engineering Culture**: High ownership, autonomy, and impact. Decisions documented in writing; performance evaluated on output rather than hours. "Dogfooding" the product is encouraged. ## Sources 1. [Kraken Careers](https://www.kraken.com/careers) 2. [Kraken Job Listings (Ashby)](https://jobs.ashbyhq.com/kraken.com) 3. [Kraken Culture Page](https://www.kraken.com/culture) 4. [The Kraken Employee Value Proposition - Kraken Blog](https://blog.kraken.com/news/the-kraken-employee-value-proposition) 5. [Remote isn’t a perk. It’s how Kraken operates. - Kraken Blog](https://blog.kraken.com/news/industry-news/remote-is-how-kraken-operates) ## Other roles at Kraken - [CE Specialist, Voice | Fixed-Term](https://feeny.ai/job/ce-specialist-voice-fixed-term-kraken-mexico-kgmmkph6s8m2) — Mexico - [Senior Compliance Associate - Automation & Systems](https://feeny.ai/job/senior-compliance-associate-automation-systems-kraken-united-kingdom-rmszh6g1b0zy) — United Kingdom - [Senior Compliance Associate - Automation & Systems](https://feeny.ai/job/senior-compliance-associate-automation-systems-kraken-united-states-0ndwyrsgvhaw) — United States - [Compliance Associate](https://feeny.ai/job/compliance-associate-kraken-ireland-23k1tth1tgbs) — Ireland - [Senior Software Engineer - Frontend - Consumer](https://feeny.ai/job/senior-software-engineer-frontend-consumer-kraken-poland-kf5syhe3r2yz) — Poland - [Senior Director of Product - P2P Marketplace & Platform](https://feeny.ai/job/senior-director-of-product-p2p-marketplace-platform-kraken-apac-zb1bvg6ebp3x) — APAC - [Staff Site Reliability Engineer - Dev Platform](https://feeny.ai/job/staff-site-reliability-engineer-dev-platform-kraken-brazil-gep75p98kx0q) — Brazil - [Senior Software Engineer - Dev Platform](https://feeny.ai/job/senior-software-engineer-dev-platform-kraken-brazil-r3axawb5k4ww) — Brazil - [Client Experience Specialist | Fixed-term](https://feeny.ai/job/client-experience-specialist-fixed-term-kraken-romania-nvhxrqg1bz69) — Romania - [Talent Sourcer](https://feeny.ai/job/talent-sourcer-kraken-united-kingdom-976kdg954qjn) — United Kingdom