Hiring: Chief Compliance Officer, Swap Dealer Company: FalconX Location: New York, NY Job Posted Time: 2026-09-11 13:02:25 Employment Type: Full-time / Hybrid Target Skills & Keywords : Capital Markets, Derivatives, Regulatory Compliance About the job Experience: •Strong willingness to train and provide proactive guidance to colleagues on Swap Dealer requirements and impact of regulatory compliance •Preparing or contributing annual compliance reports and other compliance materials for executive management, boards of directors and regulators. Required Skills: •Advise and implement enhancements to the overall Swap Dealer Compliance Program, including oversight of policies and procedures •Respond to regulatory inquiries, audits, examinations and investigations, and liaison with the CFTC and NFA •Manage and report on any incidents of non compliance, maintaining a non compliance issue log and monitor remediation of open items, reporting to the CCO on a regular basis •Manage and resolve any conflicts of interest that may arise by determining reasonable steps that should be taken to resolve or mitigate the conflict of interest •Provide reporting to management and Board of Directors. Escalate reporting when relevant •Developing and conducting periodic testing to monitor whether internal controls are operating effectively and in compliance with the swap dealer requirements •Develop swap dealer compliance training to all relevant personnel including swap associated persons, compliance team and other relevant groups Qualifications: •A minimum of 10+ years of legal or compliance experience/background preferably with investment or commercial bank, law firm, consulting firm or regulatory organization. •Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer. •Demonstrated understanding of the requirements of the Dodd-Frank Act and associated regulations relating to swap dealers, including applicable CFTC, NFA and FRB rules and regulations. •Operational familiarity with sales and trading of over-the-counter derivatives, with particular focus on foreign exchange and interest rate derivatives. •Outstanding written (drafting & editing) and spoken communication abilities. •Excellent teamwork, interpersonal and conflict resolution skills. •Highly organized and capable of dealing with multiple, complex projects simultaneously •Bachelor’s degree or equivalent experience required; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or consulting firm, or a combination thereof Compensation: •$191,000 - $252,000 / year Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!