Senior Compliance Associate

Summary

Join Kraken as a Senior Compliance Associate and play a key role in ensuring the company's compliance with CySEC regulations and EU directives. Monitor and maintain compliance with relevant regulations, including MiFID II and AML requirements. Develop and implement compliance policies and procedures. Conduct risk assessments and audits, and prepare regulatory reports. Advise management on compliance matters and liaise with CySEC and external auditors. Perform client transaction monitoring and KYC/AML reviews. Provide compliance training and guidance to staff. Contribute to the firm's compliance monitoring program and regulatory gap analyses. This position requires a Bachelor’s degree, 3-4 years of experience in a compliance role within an EU MiFID II investment firm, and CySEC AML and Advanced certificates. The role offers an excellent opportunity to contribute to a growing firm's regulatory strategy and risk management.

Requirements

• Bachelor’s degree in Law, Finance, Business Administration, or related field
• Minimum 3-4 years of experience in a compliance role within an EU MiFID II investment firm, CySEC, or an EU MiFID II regulated firm
• Hold CySEC AML and Advanced certificates
• Strong understanding and extensive knowledge of CySEC/EU regulatory frameworks and compliance best practices. In-depth knowledge of CySEC regulations, MiFID II, AML directives, and other EU financial legislation
• Prior experience with submitting reports to CySEC TRS and Portal
• Excellent English and Greek written and verbal communication skills
• Strong analytical, investigative, and problem-solving skills
• High attention to detail, strong communication skills and ability to work independently and under pressure

Responsibilities

• Monitor and ensure ongoing compliance with CySEC regulatory requirements, MiFID II, AML directives, and other applicable EU regulations (e.g. IFR, DORA etc)
• Assist in the development, implementation, and review of compliance policies, procedures, and manuals
• Conduct compliance risk assessments and audits, and recommend corrective actions where necessary
• Support the preparation and timely submission of regulatory reports, notifications, and filings to CySEC and other authorities
• Advise management and business units on compliance-related matters and regulatory changes
• Liaise with CySEC and external auditors on compliance issues and inspections
• Perform ongoing monitoring of client transactions, KYC/AML reviews, and reporting of suspicious activities (SARs)
• Provide compliance training and guidance to staff across all departments
• Contribute to the firm’s compliance monitoring program and assist in regulatory gap analyses
• Maintain a deep understanding of complex compliance risks/issues, identify root causes of inefficiencies, and develop effective process improvement strategies to streamline the operations teams’ processes
• Review Marketing Communication and advise on alignment of content with MiFID II marketing guidelines
• Stay abreast on industry standards and CySEC/EU regulatory developments and consider application of regulatory requirements with a global focus, if necessary
• Be able to deputise for the company’s Head of Compliance and the AMLCO in their absence
• Perform any other duties as may be assigned by the direct manager and/or senior management

Preferred Qualifications

Master’s degree or professional certification