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 ensure compliance with swap and security-based swap regulations, develop policies, conduct risk assessments, deliver training, monitor and test controls, prepare reports, investigate violations, recommend corrective actions, engage stakeholders, and improve compliance processes.
Requirements
- Bachelor’s degree in Law, Business Administration, Finance, or a related field
- 5–8 years of compliance or legal experience within a swap dealer or financial services environment
- In-depth knowledge of the Dodd-Frank Act, CFTC and SEC regulations, and NFA rules
- Experience in derivatives trading or a similar regulated industry
- Strong analytical and problem-solving skills
- Excellent communication and interpersonal skills
- Proficiency in compliance software and tools
- Ability to manage multiple projects and meet deadlines
- Strong organizational skills
Responsibilities
- Ensure compliance with swap dealer regulations
- Develop, review, and update compliance policies and procedures
- Conduct risk assessments for swap dealing operations
- Design compliance training programs
- Assist with compliance monitoring and auditing or testing
- Prepare compliance reports for senior management and the board
- Maintain compliance and investigation records
- Lead investigations into compliance violations
- Recommend corrective actions
- Engage key stakeholders
- Implement compliance process improvements
Benefits
- Performance-linked bonus
- Equity
- Competitive benefits package
