Senior Compliance Associate, Personal Account Dealing

As a Senior Compliance Associate for Personal Account Dealing at FalconX, you will manage the program governing employee trading and conflicts of interest across the firm. You'll review and adjudicate personal trading pre-clearance requests, monitor employee holdings and transactions for policy breaches, and administer the systems that support this program. Working at the intersection of compliance, data, and market structure, you'll operate 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. Because FalconX operates in digital assets, this role extends traditional personal account dealing discipline into self-custody wallets, on-chain activity, and token holdings.

What you'll do

• 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.
• 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.
• 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.
• 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.
• Review and disposition gifts and entertainment and outside business activity submissions against firm thresholds, identify aggregation and pattern concerns, and escalate submissions raising bribery, inducement, or client-conflict risk.
• 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, ensuring the program's coverage remains fully compliant as the regulatory perimeter shifts.
• 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.
• 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.

What you bring

• A Bachelor's degree in Finance, Economics, Accounting, Law, Data Science, or a related field.
• 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.
• 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.
• Proven ability to handle sensitive personal information about colleagues with complete confidentiality, and the composure to make and defend unpopular decisions without escalating unnecessarily or capitulating inappropriately.
• 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.
• Genuine interest in digital asset markets and the practical mechanics of self-custody, on-chain activity, staking, and airdrops.

Nice to have

• Experience running or administering a personal trading program, not solely submitting into one.
• Hands-on experience with STAR Compliance, including administrator-level familiarity with pre-clearance rule configuration, broker and custodian data feeds, attestation campaigns, and reporting.
• Experience with comparable employee compliance platforms such as ComplySci, MyComplianceOffice, or Schwab Compliance Technologies, provided you have configured and maintained the system rather than only used its front end.

What we offer

• Base pay of $132,000-$167,000 in the New York City area (actual compensation determined based on location, skillset, experience, qualifications, and level at which hired).
• Performance-linked bonus.
• Equity.
• Competitive benefits package.

About FalconX

FalconX is a pioneering team of operators, investors, and builders addressing institutional access to crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX provides a comprehensive solution for all digital asset strategies from start to scale, navigating the complexity and fragmentation of the digital asset market with products and services that support trading strategies, structures, and liquidity found in conventional financial markets.