Falconx
Senior Compliance Associate, Personal Account Dealing
New York City, NY. Posted 11 days ago
The role
This person will manage the program governing employee trading and conflicts of interest. They will review personal trading pre-clearance requests, monitor employee holdings for policy breaches, and administer compliance systems.
What you will do
- Review, approve, deny, or escalate employee pre-clearance requests for personal securities and digital asset transactions.
- Investigate suspected breaches of the personal account dealing policy.
- Prepare investigative narratives with supporting evidence for escalation.
- Assist with maintaining the firm's restricted and watch lists.
- Work with Legal, Corporate Development, and business heads to ensure material non-public information is reflected in trading restrictions.
- Review and disposition gifts and entertainment and OBA submissions.
- Maintain understanding of personal trading and conflicts requirements across jurisdictions.
- Partner with the Compliance Manager to update the personal account dealing policy and standard operating procedures.
- Assemble pre-clearance records, breach files, and decision rationale for audits and regulatory examinations.
Required qualifications
- Bachelor's degree in Finance, Economics, Accounting, Law, Data Science, or a related field.
- 1–3 years of direct experience in personal account dealing, code of ethics, or employee compliance monitoring at a broker-dealer, asset manager, bank, proprietary trading firm, fintech, or digital ass
- Exceptional attention to detail.
- Proven ability to handle sensitive personal information with complete confidentiality.
- Crisp verbal and written communication skills.
Nice to have
- Experience running or administering a personal trading program
- Hands-on experience with STAR Compliance
- Experience with comparable employee compliance platforms (ComplySci, MyComplianceOffice, Schwab Compliance Technologies)
Benefits
- Performance linked bonus
- Equity
- Competitive benefits package
About the company
FalconX is a team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. The company operates as a connective tissue empowering clients through the digital asset landscape.