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Overview
FalconX is seeking a Chief Compliance Officer to oversee compliance for their registered Swap Dealer, ensuring adherence to regulatory requirements and enhancing compliance programs. 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.
What you'll do
- •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
- •Manage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interest
- •Provide reporting to management and Board of Directors. Escalate reporting when relevant
- •Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements
- •Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups
Conditions
- •This is a full-time position with an expected annual compensation of $191,000 - 252,000 in the New York City Metro area.
- •The actual compensation for a successful candidate may vary based on factors such as skill set, relevant experience, qualifications, and other relevant factors.
- •This position also offers other forms of compensation and benefits consisting of overtime compensation (*when applicable*), relocation assistance (*if applicable*), performance-linked bonus, paid time off (including sick time) benefits, paid Company holidays, participation in the Company’s equity and 401k retirement plan, competitive employee health, dental, and vision benefits each subject to the terms and conditions of the governing plan documents and Company policies.