Senior Compliance Associate, Personal Account Dealing

Position Summary

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.

KEY RESPONSIBILITIES

• 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 Compliance & Audit Support

• 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.

QUALIFICATIONS

Education: Bachelor's degree in Finance, Economics, Accounting, Law, Data Science, or a related field.

Experience: 1–3 years of direct experience in personal account dealing, code of ethics, or employee compliance monitoring at a broker-dealer, asset manager, bank, proprietary trading firm, fintech, or digital asset platform. Experience running or administering a personal trading program — not solely submitting into one — is strongly preferred.

Platform Experience: Hands-on experience with STAR Compliance is strongly preferred, including administrator-level familiarity with pre-clearance rule configuration, broker and custodian data feeds, attestation campaigns, and reporting. Experience with comparable employee compliance platforms (ComplySci, MyComplianceOffice, Schwab Compliance Technologies) will be considered, provided the candidate has configured and maintained the system rather than only used its front end.

Analytical Mindset: Exceptional attention to detail, with the ability to reconstruct what an employee actually traded from incomplete records, spot the account that was never disclosed, and distinguish a genuine oversight from a deliberate circumvention.

Discretion & Judgment: Proven ability to handle sensitive personal information about colleagues with complete confidentiality, and the composure to make and defend unpopular decisions — including denying a request from a senior stakeholder — without escalating unnecessarily or capitulating inappropriately.

Communication: Crisp verbal and written communication skills, with the ability to document decisions clearly, explain a denial in terms an employee understands, and articulate personal trading expectations to non-compliance stakeholders across the firm.

Digital Asset Interest: Genuine interest in digital asset markets and the practical mechanics of self-custody, on-chain activity, staking, and airdrops — enough to reason about how a policy written for equities should apply to a wallet.

The base pay for this role is expected to be between $132,000 - $167,000 in the New York City 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, qualifications and the level at which the candidate is hired.