About the company
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 engineers, product builders, institutional sales and trading leaders, operations experts, and business strategists. Our teammates have entrepreneurial experience and come from companies such as Google, Apple, Paypal, Citadel, Bridgewater, and Goldman Sachs. And, we embody our values: Think big; Drive bold outcomes; Be one team; Iterate with speed; and be an entrepreneur. 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.
Job Summary
Qualifications:
📍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 desirable 📍Experience within the OTC, listed derivatives and swaps businesses and their associated surveillance programs is an advantage 📍Expertise of CFTC, NFA and/or SEC Swap Dealer regulations 📍Strong presentation skills with the ability to articulate complex 📍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 📍Strong working knowledge of Swap Dealers and the related operations and financial requirements a plus 📍Strong writing skills and, ideally, experience writing and implementing policies and procedures, management information and reports 📍Effective communicator with senior stakeholders both verbally and written, with strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance 📍Genuine interest in Digital Assets and regulatory framework
Responsibilities:
📍Support the team in overseeing the firm’s Swap Dealer Compliance Program 📍Conduct first-line review for the Swap Dealer Surveillance Program 📍Advise and implement enhancements to the overall Swap Dealer Compliance Program 📍Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA
If you’re passionate about blockchain and decentralized technologies, explore more opportunities in web3 and cryptocurrency careers.
