Falconx
Chief Compliance Officer, Swap Dealer
New York City, NY. Posted 3 months ago
The role
The Chief Compliance Officer will advise internal stakeholders on the implementation and development of CFTC and NFA swap dealer requirements. This role involves day-to-day oversight of policies, procedures, risk assessments, and management reporting for a registered Swap Dealer.
What you will do
- Advise and implement enhancements to the overall Swap Dealer Compliance Program
- Respond to regulatory inquiries, audits, examinations and investigations
- Liaison with the CFTC and NFA
- Manage and report on any incidents of non compliance
- Maintain a non compliance issue log and monitor remediation
- Manage and resolve any conflicts of interest
- Provide reporting to management and Board of Directors
- Develop and conduct periodic testing to monitor internal controls
- Develop swap dealer compliance training to all relevant personnel
Required qualifications
- Minimum of 10+ years of legal or compliance experience/background
- 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 regions
- Familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives
- Outstanding written and spoken communication abilities
- Excellent teamwork, interpersonal and conflict resolution skills
- Highly organized and capable of dealing with multiple, complex projects simultaneously
- Bachelor’s degree or equivalent experience required
Nice to have
- experience with investment or commercial bank, law firm, consulting firm or regulatory organization
- experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof
Benefits
- overtime compensation (when applicable)
- relocation assistance (if applicable)
- performance-linked bonus
- paid time off (including sick time)
- paid Company holidays
- participation in the Company’s equity
- 401k retirement plan
- competitive employee health, dental, and vision benefits
About the company
FalconX is a digital asset platform for institutions providing trade execution, credit & treasury management, prime offering and market making services. The company operates at the intersection of traditional finance and technology to provide institutional access to crypto markets.