Senior Compliance Associate Personal Account Dealing
FalconX provides institutional access to digital asset markets through deep liquidity, financing solutions, and technology infrastructure for global institutions.
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 administer the employee personal account dealing program, review personal trading requests, investigate potential policy breaches, and maintain restricted and watch lists. You will coordinate trading restrictions related to material non-public information, assess gifts, entertainment, and outside business activities, and prepare audit-ready records. You will also help update policies, review playbooks, and procedures for digital asset activity.
Requirements
- Bachelor's degree in Finance, Economics, Accounting, Law, Data Science, or a related field
- 1–3 years of direct experience in personal account dealing, code of ethics, or employee compliance monitoring
- Experience administering a personal trading program
- Experience with STAR Compliance, including rule configuration, data feeds, attestation campaigns, and reporting
- Experience configuring and maintaining comparable employee compliance platforms, such as ComplySci, MyComplianceOffice, or Schwab Compliance Technologies
- Ability to investigate incomplete trading records and identify undisclosed accounts
- Ability to handle sensitive personal information confidentially
- Written and verbal communication skills
- Interest in digital asset markets, self-custody, on-chain activity, staking, and airdrops
Responsibilities
- Review, approve, deny, or escalate employee pre-clearance requests for securities and digital asset transactions
- Investigate suspected personal account dealing policy breaches and prepare evidence-based narratives for escalation
- Maintain restricted and watch lists and ensure rule-set changes are applied correctly
- Coordinate with Legal, Corporate Development, and business heads to reflect material non-public information in trading restrictions
- Review gifts, entertainment, and outside business activity submissions and escalate bribery, inducement, or client-conflict risks
- Maintain up-to-date knowledge of applicable personal trading, conflicts, and digital-asset requirements
- Update personal account dealing policies, code of ethics, review playbooks, and standard operating procedures
- Assemble pre-clearance records, breach files, attestation evidence, and decision rationales for audits and examinations
Benefits
- Performance-linked bonus
- Equity