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 - thereās no shortage of experiments to get involved with and to continue growing and learning together.
Job Summary
Responsibilities
šAssist the Compliance Officer in keeping the compliance policies and procedures updated šAssist the Compliance Officer in replying to regulatory requests šReviewing new regulatory requirements, identifying gaps, and designing plans on how to mitigate such gaps especially on MiCA and its RTSs šProvide advisory compliance policy approach to internal stakeholders as needed šAssist the Compliance Officer in updating the compliance risk assessments šDeliver compliance, governance and GDPR training to staff šProactively seek and develop greater productivity and enhancements where possible through process improvements and/or technological enhancements šSupport regional compliance on ad hoc risk control projects and management reporting šCarry out compliance testing on a risk based approach and subject to the Annual Compliance Plan and direction of the Compliance Officer šLiaise with internal stakeholders such as Institutional Coverage (IC), Sales, Business Operations, Products, Engineering, Group Compliance and Legal šAssist in the compilation of reports to the Board and regulators, extracting of data, replying to requests for information from regulators and assists during thematic reviews of the regulators Success
As an Regulatory Compliance specialist, youāll be part of a global network of compliance officers and a key contributor to the success of the Firmās Compliance program
šTo be successful in this role, you must work well under pressure and have excellent communication skills šYou will need to be flexible and work well with sometimes shifting priorities. šBe open to providing coverage when team members are on holiday or out of the office.
