Compliance AnalystFramework Ventures • Saint Paul, Illinois, United States
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Compliance Analyst
Framework Ventures
- Saint Paul, Illinois, United States
- Saint Paul, Illinois, United States
À propos
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 challenges by providing a comprehensive solution for digital asset strategies from start to scale and enabling clients with seamless navigation through the evolving cryptocurrency landscape. In this role, you will oversee the Swap Dealer Compliance Program, ensure adherence to CFTC, NFA, and SEC regulations, conduct reviews for the Surveillance Program, advise on compliance enhancements, respond to regulatory inquiries, manage non-compliance incidents, and report to the Chief Compliance Officer. You’ll also assist with the annual NFA Questionnaire and develop testing for internal controls. Strong communication skills are essential as you interact with senior stakeholders and guide colleagues on compliance matters.
Responsibilities
Oversee 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 liaise with the CFTC and NFA
Manage and report on incidents of non-compliance, maintain a non-compliance issue log, monitor remediation, and report to the CCO
Provide reporting to management and the Compliance Committee; escalate reporting when relevant
Assist with completion of the annual NFA Questionnaire and the CCO report
Assist in developing and conducting periodic testing to monitor internal controls operating effectively and in compliance with swap dealer requirements
Qualifications
Bachelor’s degree or equivalent experience
Experience in compliance, legal, or other control-related function in financial services, regulatory organization, or consulting (desirable)
Experience within OTC, listed derivatives and swaps businesses and their surveillance programs (advantage)
Expertise in CFTC, NFA and/or SEC Swap Dealer regulations
Strong presentation skills with the ability to articulate complex problems and solutions
Experience in assisting regulatory exams and relationships with examiners, auditors, and external partners (desirable)
Awareness of regulatory requirements including local and US laws, international and industry standards
Strong working knowledge of Swap Dealers and related operations and financial requirements (a plus)
Strong writing skills; experience writing and implementing policies, procedures, and management reports
Effective communicator with senior stakeholders, with willingness to train and provide proactive guidance on Swap Dealer requirements
Genuine interest in Digital Assets and regulatory framework
Compensation and Benefits 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 role is eligible for other forms of compensation such as a performance-linked bonus, equity, and a competitive benefits package. Actual compensation will be determined based on location, skillset, experience, qualifications, and level of hire.
EEO and Inclusivity FalconX is an equal opportunity employer and will not discriminate based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender identity and pregnancy), sexual orientation, age, disability, veteran or military status, genetic information, citizenship, or any other legally protected characteristic. FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Applicants with disabilities may be entitled to reasonable accommodation under applicable laws. If you need assistance participating in the application process, please contact the People team at recruiting@falconx.io.
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Compétences linguistiques
- English
Avis aux utilisateurs
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