Head of Corporate Compliance
Kraken
Responsibilities
- Support Compliance Officers, business and product heads globally by providing expert advice, guidance, and resources wherever possible to ensure delivery and execution of strategic priorities
- Product, design and engineering: provide strategic advice and help to build controls to support the firm’s go to market strategies and adjust product features and controls as needed
- Risk management: oversee and manage Compliance Risk Management Program, eg: risk assessments, Independent AML analyses, Risk appetite framework
- Governance: Develop/enhance governance practices across Compliance (eg Executive and Risk Committees, Compliance lead on functional governance). Lead core documentation on compliance efforts, and ensure proper record-keeping associated with each program
- Reporting: maintain ongoing reporting to ensure consistent Board level and management oversight of Compliance risk management programs including key performance and risk indicators
- Vendors: Review vendors and provide oversight in regards to the tools utilized by Corporate Compliance
- Policies and procedures: oversee Compliance’s library and implement systematic review
- Knowledge management: maintain robust framework to enable Krakenites to access key regulatory, organization and governance information
- Exam and audit management: enhance program to ensure consistency in communication with all stakeholders globally, including external third parties, consistent delivery of responsive documentation, and tracking/reporting of identified findings and remediation efforts
- Exchange asset listing framework: provide executive support to list and re-review assets
- Corporate Operating Model: provide strategic direction on developing the firm as well as compliance operating model and provide ongoing maintenance
- Compliance Testing: oversee the compliance testing program design, development and implementation. Provide ongoing reporting on the program and support remediation efforts.
- Mergers & Acquisitions: Provide management and oversight for Compliance due diligence and implementation of new acquisitions.
- Licensing and registration: provide oversight and support to obtain and maintain consistent with regulatory requirements
- Marketing: oversee marketing compliance framework and provide reporting on implementation effectiveness and issues
- Technology: partner with product, data and engineering teams to review our services, products, controls to make sure they are in line with regulatory expectations
- Markets compliance: ensure robust product support is provided from a compliance standpoint to comply with regulatory requirements, including the appropriate reporting obligations
- Training: oversee the firm’s Compliance training program including tracking and reporting
Requirements
- Proactive, strategic, comfortable with navigating ambiguity, bias for action
- Demonstrated success in scaling operational processes leveraging technology
- Fluency in English required, additional languages a plus
- Executive presence and compliance team leadership
- Prior experience as a Chief Compliance Officer, BSA Officer, MLRO, or similar role with direct reporting lines to the Board of Directors preferred
- Significant European regulatory experience is a strong plus including in relation to MiCAR and virtual asset service provider licensing/registrations
- Strategic financial crimes and markets compliance experience is important
- J.D., L.L.M., M.B.A. or other advanced degree is preferred
- Professional industry certifications such as Certified Anti-Money Laundering Specialist (CAMS), a plus
- Significant experience in a previous regulatory or compliance managerial position at a crypto, banking, trading, payments, or fintech institution, hyper-growth fintech a plus
- Experience managing KYC and AML compliance programs in a regulated financial services firm is a plus
- Skilled in collaborating with stakeholders at all levels across technical and non-technical groups
- Executive level presentation abilities, both verbally and using various media
- Ability to lead in a growing company environment with focused and hardworking individuals
- Exceptional attention to detail and strong problem-solving skills
- Excellent written and oral communication skills
- Experience and/or passion for crypto preferred
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