Who are we?

FalconX is the most advanced digital asset platform for institutions. We provide trade execution, credit & treasury management, prime offering and market making services. Given our global operations, industry-leading technology and deep liquidity, we have facilitated client transactions of $1 trillion in volume. Our products & services are regulated, compliant and trusted.

We are a team of engineers, product builders, institutional sales and trading leaders, operations experts, and business strategists. Our teammates have entrepreneurial experience and come from companies such as Google, Apple, Paypal, Citadel, Bridgewater, and Goldman Sachs. And, we embody our values: Think big; Drive bold outcomes; Be one team; Iterate with speed; and be an entrepreneur.

We prioritize learning. Outcomes are mission-critical, but we also believe that learning in success and in failure will drive our continued success. Our industry is emergent - there’s no shortage of experiments to get involved with and to continue growing and learning together. 

We are a financial services organization specializing in institutional sales, trading, credit lending, and capital markets in the digital asset space with passionate leaders across the globe. At FalconX, we prioritize learning. Outcomes are mission-critical, but we also believe that learning in success and in failure will drive our continued success. Our industry is emergent - there’s no shortage of experiments to get involved with and to continue growing and learning collaboratively.

Impact

We are seeking an experienced Global Head of  Compliance Executive to lead our distributed, global compliance team.

Our department prevents, detects and mitigates compliance and regulatory risks across the company and helps to strengthen our culture of compliance. As a company involved in digital assets, this role will also be relied on for training and knowledge sharing. The team monitors existing and new rules and regulations; designs and implements controls, policies, procedures and training to all colleagues. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory digital asset landscape.

Responsibilities:

• Lead, develop and implement the global compliance programs, including Know Your Customer (KYC), Anti-Money Laundering (AML), trade surveillance, sanctions and derivatives compliance programs for FalconX in the US, APAC, and Europe
• Advise and implement enhancements to the overall Compliance Program, including oversight of policies and procedures
• Tasked with management of our distributed, Global Compliance team.
• Communicate with regulators globally on behalf of the company, including derivatives regulators, commodities regulators, crypto regulators and other financial regulators
• Strengthen and maintain the compliance framework through the development and implementation of comprehensive policies and procedures
• Work with product, legal and other departments to ensure successful launches of new products
• Apply for and maintain licenses that are important for business growth, and work closely with legal team to identify gaps in our regulatory license structure
• Respond to regulatory inquiries, audits, examinations and investigations, and liaison with regulators around the world
• Manage and address any conflicts of interest that may arise by determining reasonable steps that should be taken to confront or mitigate the conflict of interest
• Provide reporting to management and Board of Directors. Escalate reporting when relevant

Qualifications:

• 12+ years of relevant compliance and regulatory experience in finance, fintech, or crypto exchanges (experience in AML/BSA compliance is a must)
• Experience advising on compliance programs involving institutional financial products such as swaps and other derivatives
• Must be initiative-taking, flexible, innovative and adaptive
• Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech, or crypto exchanges (prior experience scaling a global compliance program preferred)
• Experience collaborating with product and engineering teams to automate compliance workflows and systems
• Passionate about crypto (DeFi and CeFi),
• Ability to help transcribe global regulatory requirements into recommendations
• Ability to drive implementation of recommendations and support growth in a fast changing landscape and managing uncertainties
• Robust leadership abilities with team management skills
• Comfort working in a dynamic, rapidly growing start-up environment
• Well-developed presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging