Date Posted:
June 1, 2026
Position Title:
Chief Compliance Officer, Kraken Adviser LLC
Office/Company:
Kraken
Party:
N/A
Office Code:
Job Number:
HC-07578
Reports To:
Location:
Remote
Contact:
Salary:
$110.4K – $220.8K • Offers Equity • Offers Bonus
Primary Role
Secondary Role:
Job Type:
Full Time
Description:
Develop, implement, administer, and enforce the firm’s compliance program in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940 (the “Advisers Act”) and all other applicable federal and state securities laws and regulations.Compliance Program Design and Administration, Regulatory Filings and Reporting, SEC Examination Readiness and Regulatory Engagement, Fiduciary Duty and Conflict of Interest Management, Books and Records, Investment Advisory Compliance, Anti-Money Laundering and Financial Crime, Cybersecurity and Privacy, Training and Culture of Compliance, Regulatory Change ManagementMinimum of 5–10 years of progressive compliance, legal, or regulatory experience in the investment management industry, with a significant portion focused on SEC‑registered investment adviser regulation.
Responsibilities:
• Design, implement, and maintain the firm’s written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and rules thereunder, as required by Rule 206(4)-7.
• Conduct at least an annual review of the adequacy of the firm’s compliance policies and procedures and the effectiveness of their implementation, and document the results of that review.
• Identify and assess regulatory risks across all business activities and develop controls to mitigate those risks.
• Maintain and update the firm’s compliance manual to reflect changes in applicable laws, regulations, SEC staff guidance, and business operations.
• Oversee the firm’s Code of Ethics, including pre-clearance and reporting of personal securities transactions, gifts and entertainment, outside business activities, and political contributions.
• Oversee the preparation, review, and timely filing of Form ADV Parts 1, 2A (Brochure), 2B (Brochure Supplements), and Form CRS, including annual amendments and interim updates.
Qualifications:
• Deep working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 (if applicable), SEC rules and regulations, and relevant state securities laws.
• Demonstrated experience in compliance, legal, or regulatory roles, with a significant portion focused on SEC-registered investment adviser regulation.
Instructions:
Email <ddress>
Other:
Kraken Adviser LLC’s Chief Compliance Officer is responsible for developing, implementing, administering, and enforcing the firm’s compliance program in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940 (the “Advisers Act”) and all other applicable federal and state securities laws and regulations.
