Senior Compliance Associate, Personal Account Dealing

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.

FalconX is seeking a Personal Account Dealing Senior Compliance Associate to join our team and help to manage the program governing employee trading and conflicts of interest across the firm. In this role, you will review and adjudicate personal trading pre-clearance requests, monitor employee holdings and transactions for policy breaches, and administer the systems that make this program run. You will work at the intersection of compliance, data, and market structure — operating vendor-based employee compliance tooling alongside FalconX's internal systems to identify conflicts, detect undisclosed activity, and ensure the firm meets its code of ethics and market abuse obligations across the jurisdictions in which we operate.

Because FalconX operates in digital assets, this role extends the traditional personal account dealing discipline into self-custody wallets, on-chain activity, and token holdings. This role requires equal parts investigative rigor, technical comfort, and absolute discretion, and offers a unique opportunity to shape personal trading practice at one of the leading institutional digital asset platforms.

• →Pre-Clearance Adjudication: Independently review, approve, deny, or escalate employee pre-clearance requests for personal securities and digital asset transactions, applying restricted list rules, blackout periods, holding period requirements, and conflict checks within committed turnaround times.
• →Breach Identification & Escalation: Investigate suspected breaches of the personal account dealing policy — trading in restricted names, front-running firm or client activity, breach of minimum holding periods, use of undisclosed accounts — and prepare clear investigative narratives with supporting evidence for escalation to the Compliance Manager.
• →Restricted & Watch List Maintenance: Assist with maintaining the firm's restricted and watch lists, ensuring names and tokens are added and released on the correct triggers, and that list changes propagate correctly into the pre-clearance rule set.
• →MNPI Coordination: Work with Legal, Corporate Development, and business heads to ensure that material non-public information — deal activity, upcoming listings, client mandates — is reflected in trading restrictions on a timely basis.
• →Gifts & Entertainment / Outside Business Activities: Review and disposition gifts and entertainment and OBA submissions against firm thresholds, identify aggregation and pattern concerns, and escalate submissions raising bribery, inducement, or client-conflict risk.

• Regulatory Alignment: Maintain a deep, up-to-date understanding of the personal trading and conflicts requirements applicable to the firm's regulated entities and their equivalents across jurisdictions, together with digital-asset-specific guidance, ensuring the program's coverage remains fully compliant as the regulatory perimeter shifts.
• Policy Contribution: Partner with the Compliance Manager to update the personal account dealing policy, code of ethics, review playbooks, and standard operating procedures as regulations, product lines, and market structures evolve — with particular focus on where existing policy language does not cleanly address digital asset activity.
• Audit Readiness: Assemble pre-clearance records, breach files, attestation completion evidence, and decision rationale for internal audit, bank partner reviews, and regulatory examinations, ensuring each file stands on its own without verbal explanation.

Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here.

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.