Compliance Analyst

Job Description

FalconX, a company revolutionizing institutional access to crypto markets, is seeking a Compliance Analyst. The Compliance Analyst will be responsible for overseeing the Swap Dealer Compliance Program and ensuring adherence to CFTC, NFA, and SEC regulations. Role involves:

• Conducting reviews for the Surveillance Program
• Advising on compliance enhancements
• Responding to regulatory inquiries
• Managing non-compliance incidents and reporting to the Chief Compliance Officer
• Assisting with the annual NFA Questionnaire
• Developing testing for internal controls

Requirements:

• Bachelor’s degree or equivalent experience
• Experience in compliance, legal, or other control-related function in the financial services firm, regulatory organization, or consulting firm
• Experience within the OTC, listed derivatives and swaps businesses and their associated surveillance programs is an advantage
• Expertise of CFTC, NFA and/or SEC Swap Dealer regulations
• Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
• Experience in assisting regulatory exams and relationships with examiners, auditors, and other external partners is desirable
• Awareness of regulatory requirements including local and US laws, international and industry standards
• Strong working knowledge of Swap Dealers and the related operations and financial requirements a plus
• Strong writing skills and, ideally, experience writing and implementing policies and procedures, management information and reports
• Effective communicator with senior stakeholders both verbally and written, with strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance
• Genuine interest in Digital Assets and regulatory framework

Role offers:

• Performance linked bonus
• Equity
• Competitive benefits package