Senior Compliance Associate, Personal Account Dealing

FalconX; New York (NY); On-site; USD 132,000 - 167,000; Full time

Job summary

FalconX is seeking a Personal Account Dealing Senior Compliance Associate to join our team in New York City. You will manage the program governing employee trading and conflicts of interest, review pre-clearance requests, monitor holdings and transactions, and administer the systems that run the program across digital assets and traditional securities.

The role requires investigative rigor, discretion, and strong analytical skills.

Qualifications

• Bachelor's degree or equivalent in a related field.
• 1–3 years of direct experience in personal account dealing, code of ethics, or employee compliance monitoring.
• Experience running or administering a personal trading program.

Responsibilities

• Pre-Clearance Adjudication: review and decide on personal trading pre-clearance requests.
• Breach Identification & Escalation: investigate breaches and prepare narratives for escalation.
• Restricted & Watch List Maintenance: help maintain lists and propagate changes to pre-clearance rules.
• MNPI Coordination: ensure material non-public information is reflected in trading restrictions.
• Gifts & Entertainment / OBA: review submissions and identify risks.
• Regulatory Alignment: stay updated on personal trading requirements across jurisdictions.
• Policy Contribution: update policy language and SOPs as regulations evolve.
• Audit Readiness: assemble records for internal and regulator reviews.

Skills

Analytical thinking

Discretion

Communication

Digital assets

Regulatory compliance

Education

Bachelor's degree

Tools

STAR Compliance

ComplySci

MyComplianceOffice

Schwab Compliance Tech

Job description

Senior Compliance Associate, Personal Account Dealing

New York City, NY

Who are we?

FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industry's foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever-evolving cryptocurrency landscape.

Position Summary

FalconX is seeking a Personal Account Dealing Senior Compliance Associate to join our team and help to manage the program governing employee trading and conflicts of interest across the firm. In this role, you will review and adjudicate personal trading pre-clearance requests, monitor employee holdings and transactions for policy breaches, and administer the systems that make this program run. You will work at the intersection of compliance, data, and market structure — operating vendor-based employee compliance tooling alongside FalconX's internal systems to identify conflicts, detect undisclosed activity, and ensure the firm meets its code of ethics and market abuse obligations across the jurisdictions in which we operate.

Because FalconX operates in digital assets, this role extends the traditional personal account dealing discipline into self-custody wallets, on-chain activity, and token holdings. This role requires equal parts investigative rigor, technical comfort, and absolute discretion, and offers a unique opportunity to shape personal trading practice at one of the leading institutional digital asset platforms.

KEY RESPONSIBILITIES

• Pre-Clearance Adjudication: Independently review, approve, deny, or elevate employee pre-clearance requests for personal securities and digital asset transactions, applying restricted list rules, blackout periods, holding period requirements, and conflict checks within committed turnaround times.
• Breach Identification & Escalation: Investigate suspected breaches of the personal account dealing policy — trading in restricted names, front-running firm or client activity, breach of minimum holding periods, use of undisclosed accounts — and prepare clear investigative narratives with supporting evidence for escalation to the Compliance Manager.
• Restricted & Watch List Maintenance: Assist with maintaining the firm's restricted and watch lists, ensuring names and tokens are added and released on the correct triggers, and that list changes propagate correctly into the pre-clearance rule set.
• MNPI Coordination: Work with Legal, Corporate Development, and business heads to ensure that material non-public information — deal activity, upcoming listings, client mandates — is reflected in trading restrictions on a timely basis.
• Gifts & Entertainment / Outside Business Activities: Review and disposition gifts and entertainment and OBA submissions against firm thresholds, identify aggregation and pattern concerns, and elevate submissions raising bribery, inducement, or client-conflict risk.

Regulatory Compliance & Audit Support

• Regulatory Alignment: Maintain a deep, up-to-date understanding of the personal trading and conflicts requirements applicable to the firm's regulated entities and their equivalents across jurisdictions, together with digital-asset-specific guidance, ensuring the program's coverage remains fully compliant as the regulatory perimeter shifts.
• Policy Contribution: Partner with the Compliance Manager to update the personal account dealing policy, code of ethics, review playbooks, and standard operating procedures as regulations, product lines, and market structures evolve — with particular focus on where existing policy language does not cleanly address digital asset activity.
• Audit Readiness: Assemble pre-clearance records, breach files, attestation completion evidence, and decision rationale for internal audit, bank partner reviews, and regulatory examinations, ensuring each file stands on its own without verbal explanation.

QUALIFICATIONS

Education: Bachelor's degree in Finance, Economics, Accounting, Law, Data Science, or a related field.

Experience: 1–3 years of direct experience in personal account dealing, code of ethics, or employee compliance monitoring at a broker-dealer, asset manager, bank, proprietary trading firm, fintech, or digital asset platform. Experience running or administering a personal trading program — not solely submitting into one — is strongly preferred.

Platform Experience: Hands-on experience with STAR Compliance is strongly preferred, including administrator-level familiarity with pre-clearance rule configuration, broker and custodian data feeds, attestation campaigns, and reporting. Experience with comparable employee compliance platforms (ComplySci, MyComplianceOffice, Schwab Compliance Technologies) will be considered, provided the candidate has configured and maintained the system rather than only used its front end.

Analytical Mindset: Exceptional attention to detail, with the ability to reconstruct what an employee actually traded from incomplete records, spot the account that was never disclosed, and distinguish a genuine oversight from a deliberate circumvention.

Discretion & Judgment: Proven ability to handle sensitive personal information about colleagues with complete confidentiality, and the composure to make and defend unpopular decisions — including denying a request from a senior stakeholder — without escalating unnecessarily or capitulating inappropriately.

Communication: Crisp verbal and written communication skills, with the ability to document decisions clearly, explain a denial in terms an employee understands, and articulate personal trading expectations to non-compliance stakeholders across the firm.

Digital Asset Interest: Genuine interest in digital asset markets and the practical mechanics of self-custody, on-chain activity, staking, and airdrops — enough to reason about how a policy written for equities should apply to a wallet.

The base pay for this role is expected to be between $132,000 - $167,000 in the New York City Area.This expected base pay range is based on information at the time this post was generated. This role will also be eligible for other forms of compensation such as a performance linked bonus, equity, and a competitive benefits package. Actual compensation for a successful candidate will be determined based on a number of factors such as location, skillset, experience, qualifications and the level at which the candidate is hired.

Notice at Collection and Privacy Policy

Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here .

Inclusivity Statement

FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences!

As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self.

FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX. Please inform FalconX’s People team at [e-mail], if you need assistance with participating in the application process.