Sr. Compliance Associate - Market Surveillance
Job description
Senior Compliance Associates carry out day-to-day market surveillance across Kraken's regulated trading venues, investigate alerts and escalated behaviour, and help build out the surveillance programme as the business grows.
At a glance
- Employment
- Full-time
- Work mode
- Remote · Canada, Cyprus, Ireland, Malta +1
What you'll do
- Review and disposition surveillance alerts across regulated markets, and record the reasoning behind each decision clearly enough that someone else can follow it.
- Carry out analytical reviews that begin with trade and order data rather than with a system-generated alert.
- Investigate escalated behaviour end to end: gather the data, reconstruct what happened, and write it up for presentation to senior compliance stakeholders.
- Assess referrals raised from across the business and externally, and take forward the ones that warrant it.
- Draft suspicious transaction and order reports and suspicious activity reports.
- Produce management information and regulatory reporting for the entities covered.
- Contribute to surveillance platform and tooling work, including bringing new products and data sources into scope and testing that detection behaves as intended.
- Use AI and automation tools to speed up evidence-gathering and case reconstruction, with human judgement over the final call.
What we're looking for
- At least 2 years experience in trade surveillance, market abuse investigation or trading conduct inside a regulated firm, such as an exchange, broker-dealer, trading venue, bank or comparable regulated trading business.
- Working knowledge of the core market abuse typologies, for example spoofing, layering, wash trading, insider dealing, front running and ramping.
- Experience reviewing and dispositioning surveillance alerts, and writing up findings to a standard others can rely on.
- Clear, evidence-first written communication.
- Comfort using generative AI and other automation tools to improve the speed and quality of investigative work, while maintaining the oversight that regulated casework requires.
Nice to have
- Exposure to crypto-asset markets is welcomed but not required.
- Hands-on use of a surveillance platform such as Scila, Nasdaq SMARTS, Eventus or NICE Actimize.
- SQL or a similar query tool for evidence-gathering.
- Experience drafting suspicious transaction and order reports or suspicious activity reports.
- Electronic communications surveillance experience.
Your team
Market Surveillance
Responsible for detecting, investigating and reporting market abuse across Kraken's regulated trading venues, spanning spot crypto markets, crypto futures, tokenised equities, OTC markets and consumer trading.
How to get hired
- 1We may ask candidates to complete job-related skills or work-style assessments as part of our hiring process.
Apply
Direct apply at Kraken
Opens the job posting at Kraken
About Kraken
Building the Future of Open Finance
Payward is the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks, building one of the most modern and globally accessible financial infrastructure platforms in the industry. Founded in 2011, Kraken is one of the world's longest-standing crypto platforms, trusted by over 10 million individuals and institutions across the globe, offering spot trading, margin, futures, staking and OTC services for individual investors and institutional clients.
Mission
Advance an open, global financial system.
Key facts
- 2011
- Crypto / financial infrastructure
- Payward is the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks
- Founded in 2011
- Trusted by over 10 million individuals and institutions across the globe
- Offers spot trading, margin, futures, staking and OTC services
What they value
- Diversity of talents, backgrounds, contributions and unique perspectives