Principal Associate Compliance
Payward, Inc. is the parent company and operating platform behind Kraken and a portfolio spanning trading, custody, payments, lending, tokenized assets, onchain finance, and benchmarks.
Funding history
Investors
Projects
About Payward, Inc.
Payward operates unified financial infrastructure across crypto and traditional markets, including shared liquidity, risk and margin systems, collateral and settlement, compliance, and licensing. Its first-party portfolio includes Kraken, Kraken Pro, NinjaTrader, Breakout, xStocks, Payward Services, CF Benchmarks, Reap, Krak, Kraken Prime, Kraken OTC, Kraken Custody, and Bitnomial.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will support broker-dealer compliance and risk assessment programs. You will oversee compliance testing, monitoring, surveillance, written supervisory procedures, regulatory reporting, marketing reviews, electronic communications surveillance, employee onboarding compliance, and responses to regulatory examinations and audits.
Requirements
- Hold Series 7 and Series 24 qualifications and be able to obtain additional qualifications quickly.
- Have at least 5 years of experience in a retail fintech broker-dealer compliance department and working with regulators.
- Understand applicable laws, regulations, requirements, and industry practices.
- Have experience implementing a broker-dealer compliance program.
- Manage multiple complex projects independently.
- Negotiate, collaborate, adapt to change, and make difficult decisions.
Responsibilities
- Assist with broker-dealer compliance and risk assessment programs.
- Oversee and remediate daily KYC, CIP, suitability, PEP, and sanctions flags.
- Update written supervisory procedures, surveillance programs, testing programs, and employee education programs.
- Monitor the reporting, escalation, and remediation of compliance issues and regulatory matters.
- Prepare the Annual CEO Certification report under FINRA Rule 3130.
- Assess external regulatory activity and regulatory changes affecting marketing.
- Review marketing, sales, and social communications and manage electronic communications surveillance.
- Support onboarding compliance activities, including U-4 filings, fingerprinting, disclosures, OBAs, PAD, and training.
- Support compliance program enhancements and regulatory examination, audit, and inquiry responses.
Benefits
- Bonus program
- Equity program
- Wellness allowance
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k)
Hiring Process
Job-related skills or work-style assessments may be requested; results are considered alongside experience and interviews.
