Compliance Officer, Swap Dealer at FalconX

<div class="content-intro"><p><strong>Who are we?</strong></p> <p>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.</p></div><h2><strong>Job Summary:</strong></h2> <p>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.</p> <h3><strong>Key Responsibilities:</strong></h3> <ul> <li><strong>Regulatory Compliance</strong>: 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.</li> <li><strong>Policy Development</strong>: Develop, review, and update compliance policies and procedures specific to swap dealing activities to ensure they reflect current legal and regulatory requirements.</li> <li><strong>Risk Assessment</strong>: Conduct regular risk assessments focused on swap dealing operations to identify potential compliance risks and develop mitigation strategies.</li> <li><strong>Training and Education</strong>: Design specialized compliance training programs for employees involved in swap dealing to promote awareness and understanding of compliance obligations.</li> <li><strong>Monitoring and Auditing/Testing</strong>: Assist with compliance monitoring and auditing/testing  processes specific to swap transactions to ensure adherence to policies and procedures.</li> <li><strong>Reporting and Documentation</strong>: Prepare and present detailed compliance reports related to swap dealing activities for senior management and the board of directors. Maintain accurate records of compliance activities and investigations.</li> <li><str