Full TimeRemote
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, Bahamas, 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.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/VP will be responsible for day-to-day compliance functions relating to our investment advisory business. The individual must have knowledge of the Investment Advisers Acts and experience with compliance responsibilities of SEC-registered investment advisers (“RIAs) in the retail and institutional space. General Responsibilities will include regulatory oversight, investment guideline and risk management, policy implementation of all investment advisory relationships and review and approval of marketing materials relating to Galaxy Digital.
What You’ll Do:
- Ongoing review, drafting and implementing of the Firm’s policies and procedures;
- Executing compliance program testing of policies procedures;
- Assisting with third party vendor and client due diligence process and procedures;
- Preparing and assisting with the required regulatory filings as needed;
- Assist with management of independent RIA and broker-deal activity, compliance, and recordkeeping;
- Assist with administration of Code of Conduct, including logging and management of information barriers and conflicts of interest;
- Review advertising materials, including websites to ensure compliance with various regulations;
- Assist with identifying, compiling and categorizing assets for internal and regulatory reporting and SEC filings, including custody, Forms ADV and Form PF;
- Support internal/external business associates on investment advisory and broker-deal compliance issues;
- Build, update and educate employees on rules and regulations via various trainings;
- Help to identify, prioritize, and elevate risks related to, third party relationships, or general conflicts of interest;
- Partnering with Operations, Client Services, the Investment Teams and other constituents to ensure continual improvement of compliance monitoring systems, processes and oversight
- Other general compliance roles and responsibilities as may be assigned from time to time
What We’re Looking For:
- At least 3 years’ experience in financial services compliance, particularly the review of marketing materials and/or investment guideline monitoring
- 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
- Ability to manage the flow of sensitive information
- Must be comfortable interacting with different levels of business lines and senior management, and conducting presentations and training sessions.
- Strong analytical and problem-solving skills along with the ability to exercise sound and balanced judgment.
- Professional and detail-oriented demeanor
- Taking initiative in accomplishing tasks/reviews
- Detail oriented with the ability to assess and prioritize projects
Bonus Points:
- JD a plus
- Series 24, 63, 65, 7 a plus
What We Offer:
- Competitive base salary, bonus, and equity compensation
- 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
$130,000—$175,000 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 careers@galaxy.com.
