Chief Compliance Officer Swap Dealer
FalconX provides institutional access to digital asset markets through deep liquidity, financing solutions, and technology infrastructure for global institutions.
Maintainer signals as of 8/20/2026
Funding history
About FalconX
FalconX operates an institutional prime brokerage serving hedge funds, asset managers, family offices, and financial institutions. The platform implements unified liquidity access across Multiple exchanges and OTC desks, providing spot trading, derivatives, custody, and financing solutions. FalconX enables clients to execute strategies with minimal slippage through proprietary technology and 24/7 market coverage.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will advise internal stakeholders on CFTC and NFA swap dealer requirements, oversee compliance policies and procedures, manage regulatory inquiries and investigations, assess risks, resolve conflicts of interest, report to management and the board, test controls, and deliver compliance training.
Requirements
- 10+ years of legal or compliance experience
- Experience implementing and executing a swap dealer compliance program
- Understanding of the Dodd-Frank Act and CFTC, NFA, and FRB regulations
- Experience interacting with CFTC, NFA, and FRB regulators
- Experience reporting to senior management
- Experience managing geographically distributed teams
- Familiarity with over-the-counter derivatives sales and trading
- Strong written and spoken communication
- Teamwork, interpersonal, and conflict resolution skills
- Ability to manage multiple complex projects
- Bachelor’s degree or equivalent experience
Responsibilities
- Advise on and implement enhancements to the Swap Dealer Compliance Program
- Oversee compliance policies and procedures
- Respond to regulatory inquiries, audits, examinations, and investigations
- Liaise with the CFTC and NFA
- Manage non-compliance incidents and remediation tracking
- Resolve or mitigate conflicts of interest
- Report to management and the board of directors
- Conduct periodic testing of internal controls
- Develop and deliver swap dealer compliance training
Benefits
- Overtime compensation when applicable
- Relocation assistance when applicable
- Performance-linked bonus
- Paid time off including sick time
- Paid company holidays
- Equity plan
- 401k retirement plan
- Health insurance
- Dental insurance
- Vision insurance
