Compliance Associate - Trade Surveillance

  • Kraken
  • Remote
  • Feb 10, 2021
Full time Compliance

Job Description

About the Role

Do you love solving puzzles and catching bad guys? Do you get upset when you hear stories of innocent people getting scammed out of their life savings? Do you monitor the market and wonder why prices rapidly move? Ever dream of starring in your very own detective show? Well, we may not have a production crew on hand, but a job as an investigator in the Trade Surveillance Team may be for you! This role meshes your love for all things crypto, your desire for a vibrant ecosystem that supports every poop-coin, protection of the Kraken mothership (and it's customers) on it's way to the moon, and maybe even help catch a bad guy (or gal) along the way!


  • Monitor Market Surveillance (Spot and Futures) via the Market Surveillance Platform (Scila).
  • Act as a subject matter expert in the performance of Market Surveillance across a range of financial products.
  • Have intermediate knowledge of regulatory requirements, including MiFIID II, MAR and US regulatory requirements and their impact on Market Surveillance.
  • Carry out market surveillance with the aim of finding and reporting on attempts by clients to engage in insider dealing or market manipulation across a range of market abuse typologies.
  • Leverage large data sets and advanced analytical skills to enhance research and investigations, ensuring both quantitative and qualitative analysis is incorporated into decision making.
  • Maintain thorough records and supporting documentation for all investigations.
  • File Suspicious Transaction and Order Reports (STORs) or equivalent with national authorities when necessary.
  • Liaise with Fraud, operations and on-boarding teams as needed during an investigation.
  • Actively develop knowledge of criminal methods and typologies as they relate to fiat and crypto transactions, applying these characteristics through analysis of transaction data to identify unusual activity.
  • Perform research in support of ad-hoc compliance projects (e.g. program procedures, regulatory inquiries)


  • Minimum three-year degree or equivalent experience.
  • Bachelor’s degree in criminal justice, law, international relations, business administration, finance, or similar field preferred.
  • Surveillance experience (trade/control room) strongly preferred.
  • Experience in using a Trade Surveillance platform for alert management and investigation (e.g. Scila/Actimize/SMARTs)
  • Impeccable communication skills, both verbal and written.
  • Proficiency analysing data using a variety of tools/methods, including macros, sql scripts, and database tools
  • Resourceful and inquisitive mindset with an ability to analyse structured and unstructured data from disparate sources and identify patterns and develop conclusions.
  • Attention to detail and exceptional organizational skills.
  • Ability to take ownership of work product and consistently deliver results.
  • Knowledge of the crypto industry is a plus and willingness to gain expertise of the financial crime typologies in the crypto industry.
  • Advanced proficiency with Microsoft Excel including the ability to perform data analysis. Ability to learn new technologies and systems for conducting data analysis.