Chief Compliance Officer, Kraken Adviser LLC at Jobgether – United States

This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Chief Compliance Officer, Kraken Adviser LLC in the United States.

This senior leadership role is responsible for shaping and overseeing a comprehensive compliance program that ensures adherence to federal and state securities regulations, including the Investment Advisers Act. The Chief Compliance Officer (CCO) serves as the primary liaison with regulators and acts as a trusted advisor to the executive team on compliance, fiduciary duties, and risk management. You will lead the development and enforcement of policies, supervise regulatory filings, and drive a culture of compliance across the organization. This position demands a balance of strategic oversight, hands-on program management, and executive-level stakeholder engagement, all within a fast-paced, innovative fintech environment. Deep knowledge of investment adviser regulations, strong judgment, and the ability to translate regulatory requirements into practical business practices are critical to success.

• Design, implement, and maintain the firm’s written compliance policies and procedures in alignment with SEC and state regulations, ensuring all activities are reasonably designed to prevent violations.
• Conduct regular reviews and assessments of compliance effectiveness, documenting findings and updating the compliance manual as necessary.
• Serve as the primary liaison with regulators, including SEC examinations, inquiries, and investigations, maintaining examination readiness at all times.
• Oversee fiduciary duty, conflict of interest management, best execution, trade allocation, custody, and marketing compliance.
• Supervise regulatory filings, including Form ADV, Form CRS, and any required state notices, ensuring timely and accurate submissions.
• Manage the firm’s AML/KYC programs, incident response protocols, and cybersecurity compliance in partnership with IT and security teams.
• Develop and deliver ongoing compliance training, fostering a culture of adherence and accountability across all organizational levels.
• Monitor emerging regulations, advise senior leadership on risk exposure, and implement necessary updates to policies, procedures, and controls.

Requirements:

• 5–10+ years of progressive compliance, legal, or regulatory experience within investment management or fintech-focused advisory firms.
• Extensive knowledge of the Investment Advisers Act of 1940, SEC regulations, state securities laws, and regulatory examination practices.
• Experience designing, implementing, and administering compliance programs for SEC-registered investment advisers.
• Proven ability to manage SEC examinations and respond to complex regulatory inquiries.
• Strong understanding of fiduciary responsibilities, conflict management, best execution, custody, and marketing rules.
• Exceptional communication, analytical, and stakeholder management skills, capable of translating regulatory requirements into actionable business guidance.
• Leadership experience, demonstrating the ability to influence, train, and manage teams in a hands-on compliance environment.
• Preferred: Juris Doctor (JD) or advanced degree, prior CCO or senior compliance officer experience, familiarity with digital assets/crypto regulations, and relevant certifications (Series 65, Series 66, CFA, CFP, CAMS).

Benefits:

• Competitive base salary with performance-based incentives.
• Equity participation opportunities.
• Comprehensive health, dental, and vision coverage.
• Paid time off and flexible work arrangements, including remote work.
• Retirement savings plans and financial wellness support.
• Professional development and training opportunities.
• Inclusive, mission-driven culture in a fast-growing, innovative fintech environment.