Compliance Analyst
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.
In this role, your day involves overseeing the Swap Dealer Compliance Program, ensuring adherence to CFTC, NFA, and SEC regulations. You'll conduct reviews for the Surveillance Program, advise on compliance enhancements, and respond to regulatory inquiries. Managing non-compliance incidents and reporting to the Chief Compliance Officer are key tasks. You’ll also assist with the annual NFA Questionnaire and develop testing for internal controls. Strong communication skills are essential as you interact with senior stakeholders and guide colleagues on compliance matters.
A Bachelor’s degree or equivalent experience is required. Experience in compliance, legal, or other control-related functions within financial services firms, regulatory organizations, or consulting firms is desirable. Experience within the OTC, listed derivatives, and swaps businesses and their associated surveillance programs is an advantage. Expertise in CFTC, NFA, and/or SEC Swap Dealer regulations is essential. Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging are necessary. Experience in assisting regulatory exams and relationships with examiners, auditors, and other external partners is desirable. Awareness of regulatory requirements, including local and US laws, international and industry standards, is important. A strong working knowledge of Swap Dealers and the related operations and financial requirements is a plus. Strong writing skills and, ideally, experience writing and implementing policies and procedures, management information, and reports are beneficial. Effective communication with senior stakeholders both verbally and written, with a strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and the impact of regulatory compliance, is crucial. A genuine interest in Digital Assets and the regulatory framework is essential.
The base pay for this role is expected to be between $94,000 - $127,000 in the New York City and San Francisco Bay Area. This expected base pay range is based on information at the time this post was generated. This role will also be eligible for other forms of compensation such as a performance-linked bonus, equity, and a competitive benefits package. Actual compensation for a successful candidate will be determined based on a number of factors such as location, skillset, experience, qualifications, and the level at which the candidate is hired.
FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!