Chief Compliance Officer

Summary

Join Kraken as their remote Chief Compliance Officer (CCO) based in Canada and oversee all compliance functions for Canadian operations. Reporting to executive leadership and collaborating with the Global Compliance team, you will ensure robust regulatory practices and maintain industry-leading standards. Responsibilities include overseeing the CIRO Investment Dealer application, managing regulatory risks, developing compliance manuals and SOPs, and overseeing regulatory and client reporting. You will also work with technology and senior management on systems initiatives, review sales and marketing materials, lead registration processes, and serve as the primary liaison for Canadian regulators. Collaboration with global teams on client onboarding, due diligence, trade surveillance, investigations, and complaint handling is also expected. Monitor emerging regulations and provide strategic guidance to senior management and the board.

Requirements

• 10+ years in compliance roles within financial services or digital asset management
• Proven track record of regulatory engagement in a Chief Compliance Officer or registered capacity with agencies such as CIRO, OSC, CSA members, and FINTRAC
• Deep knowledge of Canadian securities laws and regulatory frameworks (e.g., CIRO, CSA, and FINTRAC)
• Completion of the CSI Partners, Directors and Senior Officers Qualification Examination ("PDO") and Chief Compliance Officer Qualifying Examination ("CCO"), and Canadian Securities Course (“CSC”)
• Proven leadership in compliance strategy and operational execution
• Strong communication and stakeholder management skills
• Ability to work collaboratively in a global, fast-paced, and dynamic environment

Responsibilities

• Oversee CIRO Investment Dealer application and buildout of applicable controls
• 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
• Develop, maintain and update the Canadian Compliance Manual, AML Program, and internal SOPs to align with evolving regulatory obligations
• Oversee regulatory reporting obligations (monthly, quarterly data reporting, financial reporting through CSA portals)
• 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
• Oversee client reporting obligations (e.g., statements, trade confirmations, performance reports)
• Review sales and marketing materials for regulatory alignment
• Lead registration processes for both the firm and individual representatives
• Serve as primary liaison for Canadian regulators (OSC, CIRO and FINTRAC) and regulatory audits
• Collaborate with global teams on: Client onboarding, due diligence (CDD/EDD), and sanctions screening Trade surveillance and transaction monitoring Investigations and suspicious transaction reporting (STR), AML, privacy, and fraud cases Complaint handling and law enforcement inquiries
• 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
• Act as a subject matter expert (SME) supporting cross-functional teams on compliant product development and client solutions
• Provide strategic guidance and leadership on compliance matters to senior management and the board of directors

Preferred Qualifications

Strong preference for candidates with direct experience in crypto asset trading platforms (CTPs), fintech, or capital markets regulation