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Swaps Compliance Officer
7 months ago | 799 views | Be the first one to apply

Swaps Compliance Officer


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


📍Expertise of CFTC and SEC Compliance laws, rules, regulations, risks and typologies. 📍Excellent written, verbal and analytical skills. 📍Must be a self-starter, flexible, innovative and adaptive. 📍Highly motivated, strong attention to detail, team oriented, organized. 📍Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging. 📍Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level. 📍Experience in managing regulatory exams and relationships with examiners, auditors, and other external partners. 📍Awareness of regulatory requirements including local and US laws, international and industry standards.


📍Support the Chief Compliance Officer (CCO) in administering their duties to overseeing the firm’s Swap Dealer Compliance Program learning the operations and transitioning to the CCO Position for Swap Dealer Activities 📍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 📍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 in consultation with the CCO 📍Provide reporting to management and Board of Directors. Escalate reporting when relevant 📍Prepare and complete the annual NFA Questionnaire and CCO report 📍Assist in developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements 📍Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups

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