Chief Compliance Officer

Position:
Chief Compliance Officer, Swap Dealer

Company:
FalconX

Compensation:
$191,000 - 252,000 annually

Location:
United States, New York City, NY

Employment type:
Full-time

Work Arrangement:
Hybrid-Based

Short Summary:
FalconX is seeking an experienced Chief Compliance Officer for its registered Swap Dealer. This role involves advising on CFTC and NFA requirements, overseeing compliance programs, and enhancing policies and procedures.

Responsibilities:
- Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures
- Respond to regulatory inquiries, audits, examinations, and investigations, and liaise with the CFTC and NFA
- Manage and report on incidents of non-compliance, maintaining a non-compliance issue log
- Provide reporting to management and the Board of Directors
- Develop swap dealer compliance training for relevant personnel

Requirement:
- Minimum of 10+ years of legal or compliance experience, preferably with investment or commercial banks, law firms, or regulatory organizations
- Demonstrated experience with the implementation of swap dealer compliance programs
- Understanding of the Dodd-Frank Act and associated regulations
- Experience interacting with regulators, particularly CFTC, NFA, and FRB
- Outstanding written and spoken communication abilities

Benefits:
- Overtime compensation (when applicable)
- Relocation assistance (if applicable)
- Performance-linked bonus
- Paid time off (including sick time)
- Paid Company holidays
- Participation in the Company’s equity and 401k retirement plan
- Competitive employee health, dental, and vision benefits