Head of Trading and Market Compliance
- Trading Markets Advisor: Provide creative compliance advisory support and guidance to the OTC, Proprietary Trading, 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, Proprietary Trading 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 / Prop Desk / 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
Something looks off?