Senior Compliance Associate, Personal Account Dealing

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.