Senior Compliance Associate, Personal Account Dealing

About the role

As a Senior Compliance Associate at FalconX, you will be responsible for managing personal account dealing and ensuring adherence to compliance standards in the fast-evolving digital asset market. Your work will involve pre-clearance adjudication, breach investigation, and maintaining the firm's restricted and watch lists.

You will collaborate with various teams to ensure that compliance policies reflect the unique aspects of digital assets. Success in this role means effectively identifying breaches, maintaining audit readiness, and contributing to policy updates as regulations evolve.

The salary range for this role is between $132,000 and $167,000, with potential for additional performance-linked bonuses and equity.

Skills that matter here

• Compliance: This role requires a strong understanding of compliance regulations and the ability to manage personal account dealing effectively.
• Digital Assets: A genuine interest in digital assets is essential to apply compliance policies appropriately.
• Data Analysis: Analytical skills are necessary to investigate breaches and maintain accurate records.

Who this role suits

• Candidates should have a background in finance, law, or data science.
• They should possess strong analytical skills and attention to detail.
• A proven ability to handle sensitive information with discretion is crucial.
• Effective communication skills are important for articulating compliance expectations to non-compliance stakeholders.

From the employer

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.

Compensation & Pay Range

• 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.