Regulatory Compliance Lead

FalconX

Malta Island
Permanent
Full-time

26 days ago

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.ImpactAt FalconX, you'll help make crypto assets a successful asset class in the most compliant way. Some of the largest financial institutions from Wall Street to Silicon Valley and around the world will turn to us for the best market prices and insights on the crypto industry. You will understand the key money laundering risks within the global digital assets industry and assist in putting key risk mitigation controls in place. As a key member of the EU compliance team and key contributor to the global compliance program, you will learn and grow our company's values which define our culture and drive day to day behaviours and decision making.Responsibilities

Assist the Compliance Officer in keeping the compliance policies and procedures updated
Assist the Compliance Officer in replying to regulatory requests
Reviewing new regulatory requirements, identifying gaps, and designing plans on how to mitigate such gaps especially on MiCA and its RTSs
Provide advisory compliance policy approach to internal stakeholders as needed
Assist the Compliance Officer in updating the compliance risk assessments
Deliver compliance, governance and GDPR training to staff
Proactively seek and develop greater productivity and enhancements where possible through process improvements and/or technological enhancements
Support regional compliance on ad hoc risk control projects and management reporting
Carry out compliance testing on a risk based approach and subject to the Annual Compliance Plan and direction of the Compliance Officer
Liaise with internal stakeholders such as Institutional Coverage (IC), Sales, Business Operations, Products, Engineering, Group Compliance and Legal
Assist in the compilation of reports to the Board and regulators, extracting of data, replying to requests for information from regulators and assists during thematic reviews of the regulators

Success

As an Regulatory Compliance specialist, you'll be part of a global network of compliance officers and a key contributor to the success of the Firm's Compliance program
To be successful in this role, you must work well under pressure and have excellent communication skills
You will need to be flexible and work well with sometimes shifting priorities.
Be open to providing coverage when team members are on holiday or out of the office.

Required Qualifications

6 to 8 years work experience in a compliance related role preferably within a financial institution, consultancy firm or regulator. Familiarity with the operations of the crypto, investment or banking sector/s will be considered an asset
Qualification relating to financial services, GDPR or compliance
Strong oral and written communication skills
Good judgment and analytical skills
Strong follow up skills and ability articulate in a clear and timely manner
Team player
Genuine interest in digital assets and blockchain technology

Inclusivity StatementFalconX 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 recruiting@falconx.io, if you need assistance with participating in the application process.

FalconX

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