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Salary: USD 132,000 - 167,000 / annual
FalconX is seeking a Compliance Officer for its Swap Dealer and Security-Based Swap Dealer operations. This role is responsible for ensuring organizational adherence to all regulatory requirements and industry standards governing swap dealing activities. The officer will develop and implement comprehensive compliance strategies, conduct risk assessments, and foster a culture of integrity within swap dealer operations.
Key responsibilities include ensuring compliance with the Dodd-Frank Act, CFTC and SEC regulations, and NFA rules. The role involves developing and updating compliance policies specific to swap dealing, conducting regular risk assessments to identify and mitigate compliance risks, and designing specialized training programs for employees involved in swap dealing.
The officer will assist with compliance monitoring and auditing processes for swap transactions, prepare detailed compliance reports for senior management and the board, and lead investigations into compliance violations or breaches. The position requires building and maintaining relationships with key stakeholders to facilitate compliance efforts and identifying opportunities for process improvements and best practices in compliance management.
The ideal candidate will have a bachelor's degree in Law, Business Administration, Finance, or a related field (master's degree or professional certification preferred) and a minimum of 5-8 years of experience in compliance, legal, or a related field within a swap dealer or financial services environment. In-depth knowledge of swap dealer regulations and experience in derivatives trading or similar regulated industries is highly desirable.
Required skills include strong analytical and problem-solving abilities, excellent communication and interpersonal skills, ability to manage multiple projects and meet deadlines, proficiency in compliance software and tools, high ethical standards, detail-oriented approach, and ability to work both independently and as part of a team.
