Compliance Associate/Vice President
About Galaxy Digital
Galaxy Digital is a diversified financial services firm dedicated to the digital asset, cryptocurrency and blockchain technology industry. As one of the most well-capitalized and trusted companies in the industry, Galaxy Digital is a publicly listed company on the TSX and operates five synergistic business lines: Trading (arbitrage, macro, market making/OTC), Asset Management (passive and active strategies, including venture capital), Principal Investing, Investment Banking Services (capital markets and M&A) and Mining (proprietary mining and mining finance). Galaxy Digital’s CEO and Founder Michael Novogratz leads a team of institutional veterans focused on this high-growth, technology-driven space. The company is headquartered in New York City, with offices in San Francisco, Tokyo, Hong Kong, London, Chicago, the Cayman Islands (registered office) and New Jersey.
Role Description
The Compliance Associate/VP will be responsible for implementing the firm’s Global Code of Conduct and 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 manage and report on the firm’s Global Code of Conduct which includes policies on personal trading, private investments, gifts and entertainment and political contributions.
Responsibilities
- Administer the firm’s Global Code of Ethics which includes policies on personal trading, private investments, gifts and entertainment and political contributions.
- 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 for the Asset Manager
- Provide support for regulatory filings such as the 13F and ADV.
Required Qualifications
- 2-5 years of experience at an SEC registered investment advisor
- Highly organized and able to manage multiple deliverables
- Interest and/or knowledge of the regulatory treatment of digital assets
- Ability to work with various business units to create tailored compliance solutions
- Bachelor’s Degree
Preferred Qualifications
- JD a plus but not required
- Ability to apply SEC and CFTC regulation to Digital Assets
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 . Galaxy fully complies with all applicable Federal, State and local anti- discrimination laws. Our management team is dedicated to ensuring the fulfillment of this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities, access to facilities and programs, and general treatment during employment.