Compliance Associate - Marketing Review

| New York, NY, USA
Employer Provided Salary: 110,000-140,000 Annually
Salary data is provided by the employer. Please note this is not a guarantee of compensation.
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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 three complementary operating businesses: Global Markets, Asset Management, and Digital Infrastructure Solutions. Our offerings include, amongst others, trading, lending, strategic advisory services, institutional-grade investment solutions across passive, active and venture strategies, proprietary bitcoin mining and hosting services, network validator services, and the development of enterprise custodial technology. 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 global across North America, Europe and Asia.

Additional information about the Company's businesses and products is available on www.galaxy.com.

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 will be responsible for implementing the firm’s compliance policies related to the review and approval of marketing materials relating to Galaxy Digital. The Compliance Associate will also be asked to help review marketing materials for Galaxy Digital’s broker-dealer and asset management business.

What You’ll Do:

  • Update and manage firm policies and procedures across multiple business lines relating to marketing review
  • Review marketing and research materials and monitor marketing activities to promote compliance with internal policies, applicable rules and regulations
  • Review social media, event speaking requests and other firm-related disclosures
  • Monitor ongoing regulatory actions to ensure that marketing and advertising reviews are conducted with the most up-to-date industry knowledge
  • Work closely with marketing personnel to ensure compliance with internal policies and procedures and to assist with efficient workflow
  • Such other responsibilities as may be assigned from time to time

What We’re Looking For:

  • At least 3 years experience in financial services compliance reviewing marketing materials
  • Ability to apply SEC, FINRA and CFTC regulation to Digital Assets
  • Ability to work effectively in a fast-paced team environment
  • Ability to provide accurate, direct and practical advice in a timely fashion
  • Detail oriented with the ability to assess and prioritize projects

Bonus Points: 

  • JD a plus but not required
  • Series 24, 63, 65, 7 a plus but not required

What We Offer:

  • Competitive base salary and discretionary bonus
  • Flexible Time Off (i.e. unlimited paid vacation days)
  • Company paid Holidays (11)
  • Company paid sick leave
  • Company-paid health and protective benefits for employees, partners, and other dependents
  • 3% 401(k) company contribution
  • Generous paid Parental Leave
  • Free virtual coaching and counseling sessions through Ginger
  • Opportunities to learn about the Crypto industry
  • Free daily snacks in-office
  • Smart, entrepreneurial, and fun colleagues
  • Employee Resource Groups

Apply now and join us on our mission to engineer a new economic paradigm.

The base salary ranges included below will be commensurate with candidate experience, expertise and local market. Final offer amounts are determined by multiple factors, including candidate experience and expertise. At Galaxy, we maintain a total compensation philosophy which consists of a competitive base salary, annual bonus, and equity incentives.

Base Salary Range

$140,000$160,000 USD

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 [email protected]

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Location

300 Vesey Street, New York, NY 10282

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