Compliance Officer, Trade Surveillance

Position Summary:

The Compliance Officer - Trade Surveillance at FalconX will be responsible for monitoring and

investigating trading activities to detect and prevent market manipulation and other suspicious

activities. This role involves using advanced trade surveillance tools, ensuring adherence to

regulatory standards, and collaborating with various stakeholders to maintain market integrity.

Key Responsibilities:

• Trade Monitoring: Conduct comprehensive monitoring of trading activities across

cryptocurrency products and traditional brokerage accounts to identify potential market

manipulation or suspicious activities.

• Surveillance Tools: Utilize Solidus Labs and other trade surveillance tools to analyze

trading patterns and surface red flags.

• Investigation Management: Conduct detailed investigations into potentially suspicious

trading activities, resulting from internal alerts, referrals, and external inquiries.

• Trade Reconciliation: Experience in trade reconciliation processes to ensure accuracy

and consistency between trading records and financial statements, identifying

discrepancies and resolving them promptly.

• Communication Surveillance: Proficiency in monitoring and analyzing trader

communications (e.g., emails, chats) to detect potential compliance breaches or unethical

behavior, ensuring adherence to communication policies.

• Trader Monitoring: Ability to conduct real-time monitoring of trader activities to

identify unusual patterns or behaviors that may indicate market abuse or non-compliance

with internal policies.

• Risk Assessment: Strong skills in conducting risk assessments related to trading

activities, including evaluating the impact of new products or services on existing

surveillance frameworks.

• Cross-Functional Collaboration: Proven ability to work collaboratively with legal, risk

management, and IT teams to enhance compliance strategies and implement effective

controls.

• Reporting: Draft high-quality reports summarizing investigation findings that meet

regulatory standards and internal quality expectations.

• Lifecycle Ownership: Own the investigation process after initial detection and review by

analysts, through decisioning and documentation.

• Case Support: Provide support in handling escalated or high-risk cases by gathering data

and offering investigative insights.

• Peer Support: Mentoring: Provide peer support and mentoring to newer team

members, and contribute to onboarding and training efforts.

• Continuous Improvement: Contribute to continuous improvement by helping to

enhance surveillance processes, quality standards, and tooling.

• Technology Integration: Familiarity with integrating new technologies and tools into existing surveillance systems to improve efficiency and effectiveness in detecting suspicious activities.
• Stay Informed: Stay current on emerging trends in market manipulation, financial crime typologies, and regulatory updates related to trade surveillance.

Qualifications:

• Education: Bachelor's degree in a relevant field (e.g., Finance, Economics, Business

Administration) or equivalent experience.

• Experience: 7+ years of experience in trade surveillance or compliance within a broker-

dealer, crypto firm, fintech, or financial institution.

• Technical Skills: Hands-on experience using trade surveillance tools like Solidus Labs.

Strong skills in data analysis and pattern recognition.

• Regulatory Knowledge: Strong understanding of market regulations and compliance

requirements, particularly related to virtual currencies and digital asset platforms.

• Analytical Skills: Proven ability to work independently on complex cases, analyze large

data sets, and make sound, defensible decisions.

• Communication Skills: Exceptional writing and documentation skills, with strong

attention to detail.

• Platform Familiarity: Familiarity with case management platforms and data

visualization tools.

• Adaptability: Comfortable in a fast-paced, evolving environment that values initiative

and innovation.

• Passion: Passion for maintaining market integrity and staying ahead of financial crime

threats in the crypto and fintech space.

The base pay for this role is expected to be between $191,000 and $259,000 level in the New York City and San Francisco Bay 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.