Who are we?

FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever- evolving cryptocurrency landscape.

Location: Hybrid-Based (New York City, NY or San Mateo, CA)

Chief Compliance Officer, U.S. Swap Dealer

FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit & treasury management, prime offering and market making services. Given our global operations, industry-leading technology and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products & services are regulated, compliant and trusted.

We are a team of financial professionals focused on capital markets comprised of compliance, institutional sales and trading leaders, operations experts, business strategists, engineers, and product builders. We prioritize learning. Outcomes are mission-critical, but we also believe that learning in success and in failure will drive our continued success. Our industry is emergent - there’s no shortage of experiments to get involved with and to continue growing and learning together.

Impact

FalconX Bravo, Inc. is a registered Swap Dealer. We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.

Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance. As a company involved in digital assets, this role will also be relied on for training and knowledge sharing. The team monitors existing and new rules and regulations; designs and implements controls, policies, procedures and training to all colleagues. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory digital asset landscape.

Qualifications:

A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization.
Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.
Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations.
Experience interacting with regulators, in particular, CFTC, NFA, and FRB.
Experience reporting to senior management.
Experience managing teams across geographical regions
Familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives.
Outstanding written (drafting & editing) and spoken communication abilities.
Excellent teamwork, interpersonal and conflict resolution skills.
Highly organized and capable of dealing with multiple, complex projects simultaneously

Responsibilities:

Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures
Respond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA
Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis