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FalconX
Regulatory Compliance Lead
4 months ago | 315 views | 38 applications

Regulatory Compliance Lead

Full-time
Remote
Per year
$92,000 To $271,000

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

Responsibilities

📍Assist the Compliance Officer in keeping the compliance policies and procedures updated 📍Assist the Compliance Officer in replying to regulatory requests 📍Reviewing new regulatory requirements, identifying gaps, and designing plans on how to mitigate such gaps especially on MiCA and its RTSs 📍Provide advisory compliance policy approach to internal stakeholders as needed 📍Assist the Compliance Officer in updating the compliance risk assessments 📍Deliver compliance, governance and GDPR training to staff 📍Proactively seek and develop greater productivity and enhancements where possible through process improvements and/or technological enhancements 📍Support regional compliance on ad hoc risk control projects and management reporting 📍Carry out compliance testing on a risk based approach and subject to the Annual Compliance Plan and direction of the Compliance Officer 📍Liaise with internal stakeholders such as Institutional Coverage (IC), Sales, Business Operations, Products, Engineering, Group Compliance and Legal 📍Assist 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, you’ll be part of a global network of compliance officers and a key contributor to the success of the Firm’s Compliance program

📍To be successful in this role, you must work well under pressure and have excellent communication skills 📍You will need to be flexible and work well with sometimes shifting priorities. 📍Be open to providing coverage when team members are on holiday or out of the office.

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