FalconX
Chief Compliance Officer, Swap Dealer San Francisco Bay Area, New York City
FalconX, Bridgewater, New Jersey, United States,
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.Chief Compliance Officer, U.S. Swap DealerFalconX 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 an experienced Chief Compliance Officer for our registered Swap Dealer. 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:A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization.Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations.Experience interacting with regulators, in particular, CFTC, NFA, and FRB.Experience reporting to senior management.Experience managing teams across geographical regionsFamiliarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives.Outstanding written (drafting & editing) and spoken communication abilities.Excellent teamwork, interpersonal and conflict resolution skills.Highly organized and capable of dealing with multiple, complex projects simultaneouslyResponsibilities:Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and proceduresRespond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFAManage 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 basisManage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interestProvide reporting to management and Board of Directors. Escalate reporting when relevantDeveloping and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirementsDevelop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groupsEducation & 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 thereofExperience in area of focus; strong working knowledge of Swap Dealers and the related operations and financial requirementsStrong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliancePreparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.Notice at Collection and Privacy PolicyApplicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here .Inclusivity StatementFalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law.Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX. Please inform FalconX’s People team at recruiting@falconx.io, if you need assistance with participating in the application process.Accepted file types: pdf, doc, docx, txt, rtfAccepted file types: pdf, doc, docx, txt, rtfDo you have the right to accept unrestricted employment in the United States? *
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For government reporting purposes, we ask candidates to respond to the below self-identification survey.Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiringprocess or thereafter. Any information that you do provide will be recorded and maintained in aconfidential file.As set forth in FalconX’s Equal Employment Opportunity policy,we do not discriminate on the basis of any protected group status under any applicable law.If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection.As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measurethe effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categoriesis as follows:A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.Select...Voluntary Self-Identification of Disability
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We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp .How do you know if you have a disability?
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FalconX Bravo, Inc. is a registered Swap Dealer. We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. 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:A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization.Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations.Experience interacting with regulators, in particular, CFTC, NFA, and FRB.Experience reporting to senior management.Experience managing teams across geographical regionsFamiliarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives.Outstanding written (drafting & editing) and spoken communication abilities.Excellent teamwork, interpersonal and conflict resolution skills.Highly organized and capable of dealing with multiple, complex projects simultaneouslyResponsibilities:Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and proceduresRespond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFAManage 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 basisManage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interestProvide reporting to management and Board of Directors. Escalate reporting when relevantDeveloping and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirementsDevelop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groupsEducation & 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 thereofExperience in area of focus; strong working knowledge of Swap Dealers and the related operations and financial requirementsStrong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliancePreparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators.Notice at Collection and Privacy PolicyApplicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here .Inclusivity StatementFalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law.Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX. Please inform FalconX’s People team at recruiting@falconx.io, if you need assistance with participating in the application process.Accepted file types: pdf, doc, docx, txt, rtfAccepted file types: pdf, doc, docx, txt, rtfDo you have the right to accept unrestricted employment in the United States? *
Select...If hired, will you require immigration sponsorship? *
Select...If required, would you be willing to relocate for this position? *
Select...What are your salary expectations for this role?LinkedIn Profile *WebsiteDo you have a name you prefer to go by other than your legal name? If so, please list that here. *EducationSchool
Select...Degree
Select...Select...U.S. Standard Demographic Questions
We invite applicants to share their demographic background. If you choose to complete this survey, your responses may be used to identify areas of improvement in our hiring process.How would you describe your gender identity? (mark all that apply)
Select...How would you describe your racial/ethnic background? (mark all that apply)
Select...How would you describe your sexual orientation? (mark all that apply)
Select...Do you identify as transgender?
Select...Do you have a disability or chronic condition (physical, visual, auditory, cognitive, mental, emotional, or other) that substantially limits one or more of your major life activities, including mobility, communication (seeing, hearing, speaking), and learning?
Select...Are you a veteran or active member of the United States Armed Forces?
Select...Voluntary Self-Identification
For government reporting purposes, we ask candidates to respond to the below self-identification survey.Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiringprocess or thereafter. Any information that you do provide will be recorded and maintained in aconfidential file.As set forth in FalconX’s Equal Employment Opportunity policy,we do not discriminate on the basis of any protected group status under any applicable law.If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection.As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measurethe effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categoriesis as follows:A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.Select...Voluntary Self-Identification of Disability
Form CC-305Page 1 of 1OMB Control Number 1250-0005Expires 04/30/2026Voluntary Self-Identification of Disability
Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026Why are you being asked to complete this form?
We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp .How do you know if you have a disability?
A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability.
Disabilities include, but are not limited to:Alcohol or other substance use disorder (not currently using drugs illegally)Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDSBlind or low visionCancer (past or present)Cardiovascular or heart diseaseCeliac diseaseCerebral palsyDeaf or serious difficulty hearingDiabetesDisfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disordersEpilepsy or other seizure disorderGastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndromeIntellectual or developmental disabilityMental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSDMissing limbs or partially missing limbsMobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supportsNervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilitiesPartial or complete paralysis (any cause)Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysemaShort stature (dwarfism)Traumatic brain injury
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PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.
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