--- title: 'Senior Compliance Associate, Personal Account Dealing at FalconX' canonical: 'https://feeny.ai/job/senior-compliance-associate-personal-account-dealing-falconx-new-york-fk8e13f5rq9h' type: 'job' last_seen: '2026-11-04' --- # Senior Compliance Associate, Personal Account Dealing at FalconX - **Company:** FalconX - **Location:** New York, NY - **Posted:** 2026-11-02 - **Last confirmed live:** 2026-11-04 - **Apply:** https://job-boards.greenhouse.io/falconx/jobs/4749903005 ## Job description 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 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. 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](https://www.google.com/url?q=https://docs.google.com/document/d/14H2RKQ1L1ezo605QXotmqxCOnKgIuv21oB-95zR7_0I/edit?usp%3Dsharing&sa=D&source=calendar&ust=1715533493387657&usg=AOvVaw1Q6amAagRdjSqTfoecQ4aY). 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. ## About FalconX ## Company Overview - **One-liner**: FalconX is the largest institutional digital assets prime brokerage, providing trading, financing, custody, and capital solutions to the world’s top financial institutions. - **Entity Type**: Private (Series D, $430M total funding) - **Headquarters**: San Francisco, California, USA - **Founded**: 2018 - **Founders**: Raghu Yarlagadda (CEO) and Prabhakar Reddy ## Core Business - **Primary industries**: Digital Assets / Crypto Prime Brokerage, Financial Technology (FinTech), Capital Markets Infrastructure - **Target customers**: B2B — exclusively institutional clients including asset managers, hedge funds, family offices, venture funds, miners, protocols, banks, retail platforms, corporate treasuries, and fintechs - **Mission statement**: Architecting the financial infrastructure that will define markets for decades to come — building the backbone of global markets with greater transparency, efficiency, and access across digital and traditional finance. ## Products & Services - **Prime Brokerage**: The core offering — a comprehensive prime brokerage platform providing deep liquidity, financing, and advanced technology solutions to institutions. Includes spot, derivatives, foreign exchange, and an EMS (Execution Management System). - **FalconX 360**: All-in-one platform for seamless electronic trading, financing, and operations. - **Trading**: 24/7 trading and operational coverage across 400+ tokens. Consistently #1 in institutional options block volume (based on Paradigm Leaderboard, 2025 YTD). - **Financing**: Margin loans, OTC lending, DMA loans, flexible settlement, one-click borrow, cross-margining. - **Custody**: Integrated custody and staking solutions. - **ETF Solutions**: Liquidity provision and hedging solutions for ETF issuers and market makers. - **Direct Market Access (DMA)**: Low-latency access to multiple exchanges and liquidity venues. - **Structured Products & Yield Generation**: Tailored yield and structured product solutions. - **Research & Insights**: Weekly market commentary and daily trader insights. ## Market Standing - **Valuation**: $8 billion (as of Series D in 2022) - **Key Metric**: Over $2.5 trillion in cumulative trading volume since inception - **Total Funding**: $430M raised across Series A, B, C, and D - **Notable Investors/Partners**: Investors include GIC, B Capital Group, Tiger Global, Accomplice, Coinbase Ventures, and others. FalconX is a CFTC-registered swap dealer. - **Growth Signals**: 350+ employees globally, 35% YoY headcount growth, 7 global offices across major financial hubs (New York, San Francisco, London, Malta, India, Singapore, Hong Kong), 25 languages spoken across the team. ## Competitive Advantages - **Scale & Liquidity**: The largest institutional crypto prime brokerage with $2.5T+ in trading volume and deep liquidity across 400+ tokens. - **Institutional Credibility**: CFTC-registered swap dealer; serves the world’s top asset managers, hedge funds, and banks. - **Proprietary Technology**: Built by engineers, technologists, and traders — a robust risk engine designed to help clients scale safely and maximize capital efficiency. - **Market Leadership**: #1 in institutional options block volume (Paradigm Leaderboard, 2025 YTD). - **Diversification**: Revenue diversified across products, geographies, and counterparties, built for stability and longevity. - **Track Record**: Led by seasoned traders and analysts who have navigated every market cycle over the past 7+ years. ## Strategic Focus - **Global Expansion**: Active in key global markets with offices in US, APAC, and Europe, including recent General Manager appointments for APAC & Middle East and Custody. - **Infrastructure Buildout**: Continuing to build the institutional-grade infrastructure that bridges digital assets and traditional finance. - **Product Expansion**: Deepening ETF solutions, structured products, and financing offerings for institutional clients. - **Risk Management**: Maintaining a proprietary risk engine as a core differentiator to help clients manage volatility. ## Why Work Here - **Culture**: Described as a community of builders defining the next era of global markets. Values include: Be an Entrepreneur, Drive Bold Outcomes, Iterate with Speed, Be One Team, Think Big. - **Remote/Hybrid**: Hybrid model with major hubs in San Francisco, New York, Chicago, London, Malta, India, Singapore, and Hong Kong. Some roles are remote-friendly. - **Benefits**: Comprehensive health coverage (medical, dental, vision), competitive salaries, equity & ownership, retirement support, learning & development wallet ($), mental health resources, parental benefits, flexible time off, charitable donation matching (up to $20K annually). - **Team**: 350+ employees, 25 languages spoken, 40 interest groups, 35% YoY headcount growth. Highly cross-functional and global. - **Engineering Culture**: Built by engineers, technologists, and traders. Engineers work on a proprietary risk engine, low-latency trading systems, and the core prime brokerage platform. Emphasis on solving complex problems at scale. ## Sources 1. [falconx.io](https://www.falconx.io/about-us) 2. [falconx.io](https://www.falconx.io/) 3. [falconx.io](https://www.falconx.io/work-with-us) 4. [falconx.io](https://www.falconx.io/open-roles) 5. [linkedin.com](https://www.linkedin.com/company/thefalconx) ## Other roles at FalconX - [Security Operations Engineer](https://feeny.ai/job/security-operations-engineer-falconx-bengaluru-3d7kbfba9za6) — Bengaluru, India - [Executive Business Partner](https://feeny.ai/job/executive-business-partner-falconx-new-york-k61akqyq0868) — New York, NY - [Director, Electronic Trading](https://feeny.ai/job/director-electronic-trading-falconx-new-york-3jq847apst3z) — New York, NY - [Senior Trading Systems DevOps Engineer](https://feeny.ai/job/senior-trading-systems-devops-engineer-falconx-new-york-b503mb6b1v7y) — New York, NY - [Senior Institutional Coverage](https://feeny.ai/job/senior-institutional-coverage-falconx-new-york-1v5fa972e9se) — New York, NY - [Customer Due Diligence Associate](https://feeny.ai/job/customer-due-diligence-associate-falconx-malta-fgvpzxkw1h29) — Malta - [Compliance Onboarding Analyst](https://feeny.ai/job/compliance-onboarding-analyst-falconx-new-york-hcsg5a0q6v9q) — New York, NY - [Trader](https://feeny.ai/job/trader-falconx-new-york-s7kn6g8vmad9) — New York, NY - [Senior Trading Systems Developer](https://feeny.ai/job/senior-trading-systems-developer-falconx-new-york-ac43fgrx60xh) — New York, NY - [Senior Data Analyst](https://feeny.ai/job/senior-data-analyst-falconx-new-york-49vz9xar7br0) — New York, NY