FalconX

FalconX

Chief Compliance Officer, Swap Dealer

New York City, NY · Exec · Full-time

Sponsorship not specified$191k-$252kDetected 1 day ago
ComplianceCommunicationOrganizational SkillsInternal Audit

> stay_score

odds of building a lasting career here

37Unrated
Cap-exempt (no lottery)0
Sponsors this role0
Entry-level history0
PERM / green-card track0
Lottery odds (Level IV)94
Fits your clock70

No strong sponsorship signal in the public record yet. In the full product we resolve the exact legal entity and show its filing history with a confidence score — treat as unverified until then.

Lottery odds assume a STEM candidate.

Personalize to your clock →

> community_outcomes

No reports yet — be the first to help the next applicant.

About the role

  • FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto 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.
  • We provide trade execution, credit & treasury management, prime offering and market making services.

Responsibilities

  • 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
  • Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups
  • Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements
  • FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people.
  • 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.
  • For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.

Requirements

  • 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.
  • 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.
  • Bachelor's degree or equivalent experience required
  • experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof
  • Experience in area of focus
  • strong working knowledge of Swap Dealers and the related operations and financial requirements
  • 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.
  • 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
  • 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

Compensation

  • 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.
  • Preparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.

Benefits

  • Education & Additional Experience:

Company info

  • 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 are seeking an experienced Chief Compliance Officer for our registered Swap Dealer.
  • Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance.

Equal opportunity

  • Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws.
  • A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX.

Visa & Work Authorization

  • orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law
Apply directly at FalconX →Create a free account for alerts like thisView FalconX immigration profile

This listing is sourced directly from FalconX's careers page and normalized into a canonical job model.