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Head of Global Regulatory Compliance

San Francisco Bay Area, CA

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:

The Head of Global Regulatory Compliance will be responsible for global licensing (including strategy, advisory, application preparation, maintenance, regulatory exam management) third party audits, third party risk management, outsourcing, governance, MIS reporting, conflicts of interest, complaints handling, business continuity, privacy, anti bribery corruption  and advisory to business units. The candidate will report to the Global Chief Compliance Officer (“Global CCO”) and work closely with regional CCOs.


Key Responsibilities:

  • Prepare application materials for new licenses, ensuring a cohesive strategy between local and central requirements and controls.
  • Lead engagement with regulators (i.e., authorizations teams and supervisory teams) in jurisdictions where FalconX either holds or seeks licenses.
  • Prepare responses to ad hoc queries received by FalconX from its regulators.
  • Manage inspections or examinations conducted by FalconX's regulators.
  • Oversee findings resulting from inspections, audits, and regulatory examinations to ensure they are appropriately tracked and remediated in a timely manner.
  • Oversee the performance of gap analysis assessments on changes in regulation and legislation that may impact FalconX's licensed entities.
  • Develop cross-functional partnerships with legal, finance, security, business, technology, and product teams to achieve maximum harmony in license acquisition and maintenance.
  • Direct the mapping of regulatory requirements across key jurisdictions to the firm’s policies, procedures, and risk controls, ensuring a proactive approach to compliance management.
  • Implement and execute policies and procedures that govern FalconX’s adherence to regulatory compliance: third party risk management, third party audits, outsourcing, governance, MIS reporting, conflicts of interest, complaints handling, business continuity, anti bribery corruption, privacy and advisory to business units.
  • Develop and oversee a comprehensive regulatory compliance training program to enhance the regulatory awareness and adherence across the firm.
  • Facilitate strategic planning sessions with senior management to align the regulatory compliance strategy with the firm's overall business objectives.
  • Work collaboratively with regional CCOs, compliance teams, business units, and external partners to ensure effective strategy and execution.


Requirements:

  • The ideal candidate should have at least 10 years of licensing and regulatory compliance experience managing financial licenses in the FinTech, Crypto or banking sector.
  • Bachelor’s degree in Finance, Economics, Law, Business Administration, or a related field, or Juris Doctor Preferred. 
  • Expert in global regulatory frameworks and requirements relevant to crypto and trading firms. Experience managing regulatory compliance obligations both within the United States and abroad.
  • Proven background of interacting with regulators during both the application process and after receipt of licensure.
  • Proven ability to manage multiple projects simultaneously and meet deadlines.
  • Previous experience working with derivative products and associated regulatory regimes is nice-to-have.
  • Strong communication and presentation skills.


Compensation:

Base pay for this role is expected to be between $248,000 - $341,000 USD for New York City and San Francisco Bay 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, and qualifications.

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

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