Compliance Officer

Position:
Compliance Officer, Swap Dealer

Company:
FalconX

Compensation:
Base pay expected to be between $132,000 - $167,000

Location:
United States, New York City, NY

Employment type:
Not specified

Work Arrangement:
Not specified

Short Summary:
The Compliance Officer for the Swap Dealer & Security-Based Swap Dealer is responsible for ensuring adherence to regulatory requirements and industry standards related to swap dealing activities. This role involves developing compliance strategies, conducting risk assessments, and fostering a culture of integrity within operations.

Responsibilities:
- Ensure compliance with regulations such as the Dodd-Frank Act, CFTC, SEC, and NFA rules.
- Develop, review, and update compliance policies and procedures.
- Conduct regular risk assessments to identify compliance risks.
- Design compliance training programs for employees.
- Assist with compliance monitoring and auditing/testing processes.
- Prepare and present compliance reports for management and the board.
- Lead investigations into compliance violations and recommend corrective actions.
- Build relationships with key stakeholders to facilitate compliance efforts.
- Identify opportunities for process improvements in compliance management.

Requirement:
- Bachelor’s degree in Law, Business Administration, Finance, or a related field; Master’s degree or professional certification is a plus.
- Minimum of 5-8 years of experience in compliance or a related field within a swap dealer or financial services environment.
- In-depth knowledge of swap dealer regulations and experience in derivatives trading is highly desirable.
- Strong analytical, communication, and interpersonal skills.
- Proficiency in compliance software and tools.
- High ethical standards and integrity.

Benefits:
Not specified