Compliance Officer, Swap Dealer Compliance

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 financial professionals focused on capital markets comprised of compliance, institutional sales and trading leaders, operations experts, business strategists, engineers, and product builders. 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.

Impact

FalconX Bravo, Inc. is a registered Swap Dealer. We are seeking a person to initially support the Chief Compliance Officer with the intent to transition into the Chief Compliance Officer role for the Swap Dealer following a transitionary review period of no more than 3 months. We are seeking an experienced compliance officer to lead this area with high emotional IQ, situational awareness, and strong knowledge of Swaps Dealer requirements. This person will advise internal stakeholders on implementation and development of CFTC, and NFA swap dealer requirements, including day-to-day oversight and program enhancements relating to policies and procedures, employee training, risk assessments, issues management, governance and management reporting, and metrics.

Our department prevents, detects and mitigates compliance and regulatory risks across the firm and helps to strengthen our culture of compliance. As a company involved in digital assets, this role will also be relied on for training and knowledge sharing. The team monitors existing and new rules and regulations; designs and implements controls, policies, procedures and training to all colleagues. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory digital asset landscape.

Qualifications:

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.

Responsibilities:

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

Requirements

Relevant experience in and knowledge of CFTC, NFA swap dealer regulations
Experience writing and implementing policies and procedures, management information and reports
Experience within the OTC, listed derivatives and swaps businesses is an advantage
Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings
Exceptional attention to detail and strong analytical skills
Team player
Genuine interest in Digital Assets and regulatory framework

Education & Additional Experience:

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
Experience in area of focus; strong working knowledge of Swap Dealers and the related operations and financial requirements
Strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance
Preparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.

投资关系

相关新闻