← All roles

Principal Compliance Associate - Market Surveillance

Kraken· Compliance
Apply on company site
RemoteFull-timePosted 4w ago

About the role

Principal Compliance Associate to lead complex market surveillance investigations and help shape detection of market abuse across Kraken’s regulated venues and products.

Responsibilities

  • Own complex investigations end to end, writing findings up to a standard a regulator can rely on, and present conclusions to a range of stakeholders.
  • Lead or contribute to periodic threshold and model reviews, recalibrating surveillance rules and alert thresholds as trading behaviour, products and market structure evolve.
  • Support the design, build-out and integration of surveillance platform capability, including onboarding new products, venues and data sources onto the surveillance system.
  • Contribute to market abuse risk assessments, helping identify and score risk across products, jurisdictions and entities, and translate findings into surveillance coverage.
  • Use AI and automation tools responsibly to speed up evidence-gathering, case reconstruction and detection-model development, always with human judgement over the final call.
  • Support conflicts of interest, information barrier, and personal account dealing matters across Markets Compliance, extending beyond surveillance casework where buy-side or asset management experience is directly relevant.

Qualifications

  • Experience investigating market abuse or trading conduct inside a firm subject to market conduct regulation (e.g., an exchange, broker-dealer, trading venue, or comparable regulated trading business).
  • Track record running investigations end to end, including writing findings up to a regulator-ready standard and presenting conclusions to stakeholders.
  • Working knowledge of core market abuse typologies (e.g., spoofing, wash trading, insider trading, front running, ramping).
  • Experience with, or strong working knowledge of, threshold and model calibration, surveillance platform integration, market abuse risk assessments, and audit remediation.
  • Comfort using generative AI and other automation tools to improve investigative speed and quality, with human oversight as required by regulation.
  • Familiarity with a surveillance platform (e.g., Scila, Nasdaq SMARTS, Eventus, NICE Actimize) and comfort with SQL or similar query tools.

Skills

Required:Investigations leadershipRegulatory reporting standardsMarket abuse typologiesSurveillance platform familiaritySQL / data querying
Nice to have:AI / automation tooling

Benefits

  • Nice to have: E-comms surveillance experience.
Last updated Oct 21, 2026. Interested? Apply on the company site.

About Kraken

setter-30setter-30-2026-q1
Company profileWebsite

More open roles at Kraken