Head of Trading and Market Compliance
- Trading Markets Advisor: Provide creative compliance advisory support and guidance to the OTC, Treasury, and Risk Desks on new and existing regulations and rules, best practices and compliance with internal procedures and directives.
- Product Development: Act as a trusted senior thought partner to Product, Design, Engineering and Markets teams to assist them to structure and launch products and services that advance Kraken’s mission in compliance with regulatory requirements.
- Provide creative assistance to implement risk management recommendations;
- Support product development lifecycle using a systematic framework to advance business goals while structuring and overseeing compliant solutions.
- Regulatory Risk Management: Maintain communication with the OTC and Risk Desks to advance business objectives while identifying, assessing and mitigating compliance risks and issues.
- Controls Oversight: Provide oversight of and implement scalable controls leveraging technology including information barriers, transaction surveillance, conflicts of interest, personal dealing and risk management.
- Policy & Procedure Management: Design and implement manuals, policies and supervisory procedures to ensure that controls are operationally effective;
- Risk Assessment & Training: Assist the corporate compliance team with carrying out risk assessments and regulatory reviews including inquiries, audits and exams as well as the design and delivery of training.
- Governance: Maintain governance including the asset listing framework, a knowledge management library, conducting training support.
Skills you should HODL
- 5-7 years Markets compliance experience (sales and trading / Hedge Fund)
- 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 implementing markets and traditional finance rules in the EU and US (eg MiFID, EMIR, MAR, SEC, Dodd Frank, CFTC)
- Significant European crypto regulatory experience is a strong plus including in relation to MiCAR and virtual asset service provider licensing/registrations
- Experience in crypto, cash products, loans, derivatives a strong plus
- Experience managing complex, global compliance projects
- Demonstrated ability to effectively analyze risk and apply sound judgment in a timely manner
- Practical knowledge of compliance risk management techniques
- Proactive, strategic, comfortable with navigating ambiguity, bias for action
- Demonstrated success in scaling operational processes leveraging technology a plus
- Executive presence and compliance team leadership
- Strategic financial crimes and markets compliance experience is important
- Executive level presentation abilities, both verbally and using various media
- Experience and/or passion for crypto preferred