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FalconX is a pioneering institutional digital asset platform facilitating $1 trillion in client transaction volume. The company provides trade execution, credit & treasury management, prime offerings, and market-making services at the intersection of traditional finance and cryptocurrency markets.
FalconX Bravo, Inc., a registered Swap Dealer, seeks an experienced Chief Compliance Officer to lead the compliance function. This C-level role reports to senior management and the Board of Directors, overseeing all aspects of the swap dealer compliance program under CFTC, NFA, and Federal Reserve regulations.
Key responsibilities include:
- Designing and implementing enhancements to the Swap Dealer Compliance Program, including policies, procedures, and controls
- Managing regulatory relationships with CFTC, NFA, and FRB; responding to inquiries, audits, examinations, and investigations
- Maintaining non-compliance issue logs, monitoring remediation, and escalating to leadership
- Developing and conducting periodic testing to ensure internal controls operate effectively
- Creating and delivering swap dealer compliance training to swap-associated persons, compliance teams, and relevant personnel
- Managing conflicts of interest and providing governance reporting to the Board
- Advising on implementation of Dodd-Frank Act requirements and digital asset regulatory developments
The ideal candidate brings 10+ years of legal or compliance experience in investment/commercial banking, law firms, consulting, or regulatory organizations. Required expertise includes demonstrated swap dealer compliance program implementation, deep knowledge of CFTC/NFA/FRB regulations, and experience managing geographically distributed teams. Strong background in OTC derivatives trading (FX and interest rates) is preferred. Excellent communication, judgment, and ability to adapt to an evolving regulatory landscape are essential.
The role is hybrid-based, with flexibility between New York City and San Mateo offices.
