Position Summary:

The Head of Global Regulatory Compliance will be responsible for global licensing (including strategy, advisory, application preparation, maintenance, regulatory exam management) third party audits, third party risk management, outsourcing, governance, MIS reporting, conflicts of interest, complaints handling, business continuity, privacy, anti bribery corruption  and advisory to business units. The candidate will report to the Global Chief Compliance Officer (“Global CCO”) and work closely with regional CCOs.

Key Responsibilities:

• Prepare application materials for new licenses, ensuring a cohesive strategy between local and central requirements and controls.
• Lead engagement with regulators (i.e., authorizations teams and supervisory teams) in jurisdictions where FalconX either holds or seeks licenses.
• Prepare responses to ad hoc queries received by FalconX from its regulators.
• Manage inspections or examinations conducted by FalconX’s regulators.
• Oversee findings resulting from inspections, audits, and regulatory examinations to ensure they are appropriately tracked and remediated in a timely manner.
• Oversee the performance of gap analysis assessments on changes in regulation and legislation that may impact FalconX’s licensed entities.
• Develop cross-functional partnerships with legal, finance, security, business, technology, and product teams to achieve maximum harmony in license acquisition and maintenance.
• Direct the mapping of regulatory requirements across key jurisdictions to the firm’s policies, procedures, and risk controls, ensuring a proactive approach to compliance management.
• Implement and execute policies and procedures that govern FalconX’s adherence to regulatory compliance: third party risk management, third party audits, outsourcing, governance, MIS reporting, conflicts of interest, complaints handling, business continuity, anti bribery corruption, privacy and advisory to business units.
• Develop and oversee a comprehensive regulatory compliance training program to enhance the regulatory awareness and adherence across the firm.
• Facilitate strategic planning sessions with senior management to align the regulatory compliance strategy with the firm’s overall business objectives.
• Work collaboratively with regional CCOs, compliance teams, business units, and external partners to ensure effective strategy and execution.

Requirements:

• The ideal candidate should have at least 10 years of licensing and regulatory compliance experience managing financial licenses in the FinTech, Crypto or banking sector.
• Bachelor’s degree in Finance, Economics, Law, Business Administration, or a related field, or Juris Doctor Preferred. 
• Expert in global regulatory frameworks and requirements relevant to crypto and trading firms. Experience managing regulatory compliance obligations both within the United States and abroad.
• Proven background of interacting with regulators during both the application process and after receipt of licensure.
• Proven ability to manage multiple projects simultaneously and meet deadlines.
• Previous experience working with derivative products and associated regulatory regimes is nice-to-have.
• Strong communication and presentation skills.

Compensation:

Base pay for this role is expected to be between $248,000 - $341,000 USD for 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, and qualifications.