Senior Personal Trading Compliance Lead

FalconX; New York (NY); Vor Ort; USD 132.000 - 167.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Analytical thinking

Discretion

Communication

Digital assets

Regulatory compliance

Ausbildung

Bachelor's degree

Tools

STAR Compliance

ComplySci

MyComplianceOffice

Schwab Compliance Tech

Jobbeschreibung

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.