Compliance Officer, Swap Dealer

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.

The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring that the organization adheres to all regulatory requirements and industry standards related to swap dealing activities in swaps and security-based swaps. This role involves developing and implementing compliance strategies, conducting risk assessments, and fostering a culture of integrity and ethical conduct within the swap dealer operations.

• Regulatory Compliance: Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA) rules, and other applicable laws governing swap dealers.

• Policy Development: Develop, review, and update compliance policies and procedures specific to swap dealing activities to ensure they reflect current legal and regulatory requirements.

• Risk Assessment: Conduct regular risk assessments focused on swap dealing operations to identify potential compliance risks and develop mitigation strategies.

• Training and Education: Design specialized compliance training programs for employees involved in swap dealing to promote awareness and understanding of compliance obligations.

• Monitoring and Auditing/Testing: Assist with compliance monitoring and auditing/testing processes specific to swap transactions to ensure adherence to policies and procedures.

• Reporting and Documentation: Prepare and present detailed compliance reports related to swap dealing activities for senior management and the board of directors. Maintain accurate records of compliance activities and investigations.

• Investigation and Resolution: Lead investigations into compliance violations or breaches within the swap dealer operations and recommend corrective actions. Collaborate with legal and other departments as necessary.

• Stakeholder Engagement: Build and maintain relationships with key stakeholders to facilitate compliance efforts.

• Continuous Improvement: Identify opportunities for process improvements and implement best practices in compliance management specific to swap dealing.

• Education: Bachelor’s degree in Law, Business Administration, Finance, or a related field. A Master’s degree or professional certification is a plus.

• Experience: Minimum of 5-8 years of experience in compliance, legal, or a related field within a swap dealer or financial services environment.

• Knowledge: In-depth knowledge of swap dealer regulations, including the Dodd-Frank Act, CFTC and SEC regulations and NFA rules. Experience in derivatives trading or a similar regulated industry is highly desirable.

• Strong analytical and problem-solving