Global Head of Compliance

Job Description

• 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 • Collaborative, humble, steadfast, deep integrity, and a "we before me" approach • Experience in managing regulatory exams and relationships with examiners, auditors, and other external partners • Awareness of regulatory requirements including local and US laws, international and industry standards • Experience writing and implementing policies and procedures, management information and reports • Experience within the OTC, listed derivatives and swaps businesses is an advantage • Effective communicator with senior stakeholders both verbally and written, including experience delivering trainings • Extraordinary attention to detail and strong analytical skills • Genuine interest in Digital Assets and regulatory framework

Benefits

• Overtime compensation (when applicable) • Relocation assistance (if applicable) • Performance-linked bonus • Paid time off (including sick time) benefits • Paid Company holidays • Participation in the Company’s equity and 401k retirement plan • Competitive employee health, dental, and vision benefits each subject to the terms and conditions of the governing plan documents and Company policies