Compliance Officer, Swap Dealer

Who are we?

FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and 
cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever-
evolving cryptocurrency landscape.

Job Summary:

The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring that the organization adheres to all regulatory requirements and industry standards related to swap dealing activities in swaps and security-based swaps. This role involves developing and implementing compliance strategies, conducting risk assessments, and fostering a culture of integrity and ethical conduct within the swap dealer operations.

Key Responsibilities:

• Regulatory Compliance: Ensure compliance with relevant regulations such as the Dodd-Frank Act, Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) regulations, National Futures Association (NFA) rules, and other applicable laws governing swap dealers.

• Policy Development: Develop, review, and update compliance policies and procedures specific to swap dealing activities to ensure they reflect current legal and regulatory requirements.