See what are your chances of getting this job! About the role
Overview
We are looking for a Compliance Analyst with broker dealer and investment advisor experience to oversee a retail fully-disclosed equities/ETF and option platform and robo-advisor, ensuring compliance with all applicable FINRA, SEC, and state regulations.
Skills
Candidate requirements
These are the minimum requirements a candidate must meet to be considered for this role.
- Series 7 and 24 required and ability to obtain others quickly
- Minimum of 5 years of proven experience in a retail fintech Broker Dealer compliance department and working with regulators
Sr. Compliance Associate - Equities
Kraken is your bridge to the world of crypto.
Last updated 2025-12-09T23:05:49.997Z
Overview
We are looking for a Compliance Analyst with broker dealer and investment advisor experience to oversee a retail fully-disclosed equities/ETF and option platform and robo-advisor, ensuring compliance with all applicable FINRA, SEC, and state regulations.
Salary
$72,600 - $145,200
/yearLocation
United States
OnsiteDepartment
Finance, Legal & Compliance
Level
Mid-Level
Skills
Overview
We are looking for a Compliance Analyst with broker dealer and investment advisor experience to oversee a retail fully-disclosed equities/ETF and option platform and robo-advisor, ensuring compliance with all applicable FINRA, SEC, and state regulations.
Skills
Candidate requirements
These are the minimum requirements a candidate must meet to be considered for this role.
- Series 7 and 24 required and ability to obtain others quickly
- Minimum of 5 years of proven experience in a retail fintech Broker Dealer compliance department and working with regulators
About Kraken
Kraken is one of the world’s longest-standing and most secure crypto platforms. Our mission is to accelerate the global adoption of crypto, so that everyone can achieve financial freedom and inclusion. Globally, Kraken clients trade more than 200 digital assets and 6 different national currencies, including GBP, EUR, USD, CAD, CHF, and AUD.
Kraken was founded in 2011 and was one of the first platforms to offer spot trading with margin, parachain auctions, staking, regulated derivatives and index services.
Trusted by over 10 million individuals, traders and institutions around the world, Kraken offers professional 24/7/365 client support along with one of the fastest, most performant trading platforms available. Kraken has set the industry standard for transparency and client trust, and was the first crypto platform to conduct Proof of Reserves audits.
In 2024, Kraken ranked 12th in Newsweek's Global Top 100 list of Most Loved Workplaces, recognizing how the platform offers one of the world's most compelling employment opportunities.
Risk Disclosure: https://k.xyz/3LO7ofe
Company score (5)
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