Compliance Officer, Trade Surveillance at FalconX

New York, New York, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years), Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Cryptocurrency, FinTech, Financial ServicesIndustries

Requirements

Bachelor’s degree in a relevant field (e.g., Finance, Economics, Business Administration) or equivalent experience
7+ years of experience in trade surveillance or compliance within a broker-dealer, crypto firm, fintech, or financial institution
Hands-on experience using trade surveillance tools

Responsibilities

Conduct comprehensive monitoring of trading activities across cryptocurrency products and traditional brokerage accounts to identify potential market manipulation or suspicious activities
Utilize Solidus Labs and other trade surveillance tools to analyze trading patterns and surface red flags
Conduct detailed investigations into potentially suspicious trading activities, resulting from internal alerts, referrals, and external inquiries
Perform trade reconciliation processes to ensure accuracy and consistency between trading records and financial statements, identifying discrepancies and resolving them promptly
Monitor and analyze trader communications (e.g., emails, chats) to detect potential compliance breaches or unethical behavior, ensuring adherence to communication policies
Conduct real-time monitoring of trader activities to identify unusual patterns or behaviors that may indicate market abuse or non-compliance with internal policies
Conduct risk assessments related to trading activities, including evaluating the impact of new products or services on existing surveillance frameworks
Work collaboratively with legal, risk management, and IT teams to enhance compliance strategies and implement effective controls
Draft high-quality reports summarizing investigation findings that meet regulatory standards and internal quality expectations
Own the investigation process after initial detection and review by analysts, through decisioning and documentation
Provide support in handling escalated or high-risk cases by gathering data and offering investigative insights
Provide peer support and mentoring to newer team members, and contribute to onboarding and training efforts
Contribute to continuous improvement by helping to enhance surveillance processes, quality standards, and tooling
Integrate new technologies and tools into existing surveillance systems to improve efficiency and effectiveness in detecting suspicious activities
Stay current on emerging trends in market manipulation, financial crime typologies, and regulatory updates related to trade surveillance

Skills

Trade Surveillance

Solidus Labs

Market Manipulation Detection

Trade Reconciliation

Communication Surveillance

Regulatory Compliance

Suspicious Activity Investigation

Crypto Trading Monitoring

FalconX

Institutional crypto trading platform for financial institutions

About FalconX

FalconX is an institutional crypto trading platform that simplifies the trading of digital assets like Bitcoin and Ethereum for financial institutions. It provides clear price discovery and efficient trade execution, allowing clients to trade without concerns about hidden fees. The platform is trusted by major financial institutions and offers tailored services such as trade execution, credit, and treasury management. FalconX aims to deliver a reliable and comprehensive trading experience for institutional investors in the digital asset market.

San Mateo, CaliforniaHeadquarters

2018Year Founded

$415.4MTotal Funding

SERIES_DCompany Stage

Fintech, Crypto & Web3Industries

201-500Employees

Benefits

Hybrid Work Options

Performance Bonus

Company Equity

Risks

Increased competition in crypto derivatives could pressure FalconX's profit margins.

Regulatory scrutiny may impact the adoption of FalconX's auto-liquidation service in APAC.

Expansion into FX market may lead to integration challenges and operational risks.

Differentiation

FalconX eliminates slippage and hidden fees using advanced data science techniques.

The platform is trusted by major financial institutions for its reliability and effectiveness.

FalconX offers a comprehensive suite of services tailored for institutional clients.

Upsides

Acquisition of Arbelos Markets strengthens FalconX's position in the crypto derivatives market.

Launch of auto-liquidation service enhances capital efficiency for APAC crypto miners.

New FX desk in London expands FalconX's service offerings into traditional markets.

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