Summary

The team

Kraken Digital Asset Management is seeking a highly experienced Lead Senior Compliance Associate to support the Chief Compliance Officer (CCO) in the implementation and delivery of the Compliance related functions and its Canadian operations. Reporting to PCI CCO and working closely with PCI senior leadership and Kraken’s Global Compliance team, the incumbent will be responsible for leading assigned program elements and ensuring robust regulatory practices, maintaining industry-leading standards, and enabling innovation through compliance.

The opportunity

1. Support the CIRO Investment Dealer application and buildout of applicable controls.
2. Identify, assess, and manage regulatory risks (including the drafting and implementation of effective risk management policies and procedures), while ensuring adherence to Canadian requirements including KYC, KYP, client suitability, and disclosure standards.
3. Maintain and update the Canadian Compliance Manual, AML Program, and internal SOPs to align with evolving regulatory obligations.
4. Support all AML ATF and sanctions related operational processes/activities (e.g. EDD reviews, escalations, and reporting).
5. Ability to act as deputy CAMLO in the CCO’s absences is an asset.
6. Support regulatory reporting obligations (monthly, quarterly data reporting, financial reporting through CSA portals).
7. Work closely with the technology team and senior management to define detailed business requirements for systems initiatives aimed at improving the operating efficiencies and monitoring capabilities of the entity.
8. Review sales and marketing materials for regulatory alignment.
9. Manage registration activities for both the firm and individual representatives.
10. Collaborate with global teams on programs such as:
11. Client onboarding, due diligence (CDD/EDD), and sanctions screening
12. Trade surveillance and transaction monitoring
13. Investigations and suspicious transaction reporting (STR), AML, privacy, and fraud cases
14. Complaint handling and law enforcement inquiries
15. Monitor emerging regulations and recommend updates to policies and products. Partner with Product and Engineering to embed compliance controls into client onboarding, trading, custody, and reporting platforms.
16. Act as a subject matter expert (SME) supporting cross-functional teams on compliant product development and client solutions.

Skills you should HODL

1. 5+ years in compliance roles within financial services or digital asset management.
2. Strong preference for candidates with direct experience in crypto asset trading platforms (CTPs), fintech, or capital markets regulation.
3. Deep knowledge of Canadian securities laws and regulatory frameworks (e.g., CIRO, CSA, and PCMLTFA and FINTRAC guidelines).
4. Completion of the CSI Partners, Directors and Senior Officers Qualification Examination ("PDO") and Chief Compliance Officer Qualifying Examination ("CCO"), and Canadian Securities Course (“CSC”) is an asset.
5. Strong communication and stakeholder management skills.
6. Ability to work collaboratively in a global, fast-paced, and dynamic environment.

Skills

• Communications Skills
• Legal Consulting
• Team Collaboration