FalconX - Compliance Analyst
Requirements
• Bachelor’s degree or equivalent experience required • Experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof desirable • Experience within the OTC, listed derivatives and swaps businesses and their associated surveillance programs is an advantage • Expertise of CFTC, NFA and/or SEC Swap Dealer regulations • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging • Experience in assisting regulatory exams and relationships with examiners, auditors, and other external partners is desirable • Awareness of regulatory requirements including local and US laws, international and industry standards • Strong working knowledge of Swap Dealers and the related operations and financial requirements a plus • Strong writing skills and, ideally, experience writing and implementing policies and procedures, management information and reports • Effective communicator with senior stakeholders both verbally and written, with strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance • Genuine interest in Digital Assets and regulatory framework
Responsibilities
• Support the team in overseeing the firm’s Swap Dealer Compliance Program • Conduct first-line review for the Swap Dealer Surveillance Program • Advise and implement enhancements to the overall Swap Dealer Compliance Program • Assist in responding to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA • Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis • Provide reporting to management and Compliance Committee. Escalate reporting when relevant • Assist with completion of the annual NFA Questionnaire and CCO report • Assist in developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements • The base pay for this role is expected to be between $94,000 - $127,000 in the New York City and San Francisco Bay Area. This expected base pay range is based on information at the time this post was generated. This role will also be eligible for other forms of compensation such as a performance linked bonus, equity, and a competitive benefits package. Actual compensation for a successful candidate will be determined based on a number of factors such as location, skillset, experience, qualifications and the level at which the candidate is hired. • The base pay for this role is expected to be between $94,000 - $127,000 in the New York City and San Francisco Bay Area. • and the level at which the candidate is hired. • Notice at Collection and Privacy Policy • Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here. • Inclusivity Statement • FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences! • As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.
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