Compliance Associate / Vice President

  • Galaxy Digital
  • New York, NY
  • May 09, 2022
Full time AML Compliance

Job Description

Who We Are:

At Galaxy we are building products and services to help the world invest in economic progress. We believe crypto and blockchain innovations will permeate and improve all aspects of our global economy. Our vision is a society where value and ownership flow as freely as information. Galaxy is a digital asset and blockchain leader helping institutions, startups, and individuals access and navigate the crypto economy. As one of the most well-capitalized and trusted companies in the industry, we provide platform solutions custom-made for a digitally native ecosystem across multiple synergistic business lines: Trading, Asset Management (passive and active strategies), Principal Investments,  Investment Banking Services, and Mining. Galaxy’s CEO and Founder Michael Novogratz leads a team of crypto enthusiasts, and institutional veterans focused on the future of finance and Web3. The Company is headquartered in New York City, with offices in Chicago, London, Amsterdam, Tokyo, Hong Kong, the Cayman Islands (registered office), and New Jersey.

Additional information about the Company's businesses and products is available on www.galaxydigital.io.

What We Value:

We are a diverse team of free thinkers, and fast movers united to help investors and creators energize the global economy. We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. Our culture shapes our way of working and gets us where we want to be.

  • Seek Excellence.
  • Be Selective To Be Effective.
  • Be Highly Aligned, Loosely Coupled.
  • Disagree Transparently.
  • Encourage Independent Decision-Making.
  • Build Dream Teams.

Who You Are:

The Compliance Associate/VP will be responsible for implementing the firm’s compliance policies related to the firm’s FINRA registered Broker Dealer and SEC registered investment advisor.  This individual will assist with updating compliance policies, filing reports and responding to regulatory inquiries and exams involving the BD and the RIA.  The Compliance Associate/VP will also be asked to help review marketing materials for the asset management business.

What You'll Do:

  • Update and manage firm policies and procedures across multiple business lines
  • Respond to regulatory inquiries and subpoenas and file reports with government agencies when necessary
  • Review marketing material
  • Provide support for regulatory filings
  • Support with Pre-Trade and Post-Trade Investment Surveillance
  • Such other responsibilities as may be assigned from time to time

What We're Looking For:

  • 3+ years’ experience in financial services compliance
  • JD a plus but not required
  • Series 63, 65, 7 a plus but not required
  • Ability to apply SEC, FINRA and CFTC regulation to Digital Assets

What We Offer:

  • Competitive base salary, bonus, and equity
  • 100% company paid health insurance for employees, partners and dependents
  • 3% 401(k) company contribution
  • Generous paid Parental Leave
  • Flexible Time Off (paid)
  • Hybrid/Flexible Working Arrangements
  • Opportunities to learn about the Crypto industry
  • Free daily snacks and weekly lunches
  • Smart, entrepreneurial, and fun colleagues
  • Annual charitable giving match
  • Employee Resource Groups
  • Free virtual coaching and counseling sessions through Ginger

*Benefits may vary based on location

Galaxy respects diversity and seeks to provide equal employment opportunities to all employees and job applicants for employment without regard to actual or perceived age, race, color, creed, religion, sex or gender (including pregnancy, childbirth, lactation and related medical conditions), gender identity or gender expression (including transgender status), sexual orientation, marital or partnership or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, protected medical condition as defined by applicable state or local law, genetic information or predisposing genetic characteristic, or other characteristic protected by applicable federal, state, or local laws and ordinances.

We will endeavor to make a reasonable accommodation to the known limitations of a qualified applicant with a disability unless the accommodation would impose an undue hardship on the operation of our business. If you believe you require such assistance to complete the application process or to participate in an interview, please contact careers@galaxydigital.io.