Compliance Associate/​VP - Remote Position at Galaxy

About the Role

We are seeking a Compliance Associate/VP to join our team at Galaxy, a leading firm in the digital assets space. This Compliance Associate/VP remote position will focus on ensuring compliance within our investment advisory business. You will be part of a dynamic team that values innovation and excellence, working at the intersection of finance and technology.

What You'll Do

• Oversee the ongoing review, drafting, and implementation of the Firm’s policies and procedures.
• Execute compliance program testing of policies and procedures to ensure adherence to regulations.
• Assist with third-party vendor and client due diligence processes.
• Prepare and assist with required regulatory filings as needed.
• Manage independent RIA and broker-dealer activity, compliance, and recordkeeping.
• Administer the Code of Conduct, including logging and managing information barriers and conflicts of interest.
• Review advertising materials, including websites, to ensure compliance with various regulations.
• Identify, compile, and categorize assets for internal and regulatory reporting and SEC filings.
• Support internal and external business associates on investment advisory and broker-deal compliance issues.
• Build, update, and educate employees on rules and regulations via various trainings.
• Identify, prioritize, and elevate risks related to third-party relationships or general conflicts of interest.
• Collaborate with Operations, Client Services, the Investment Teams, and other constituents to improve compliance monitoring systems.

Requirements

• At least 3 years of experience in financial services compliance, particularly in reviewing marketing materials and investment guideline monitoring.
• Ability to apply SEC, FINRA, and CFTC regulations to digital assets.
• Strong analytical and problem-solving skills with the ability to exercise sound judgment.
• Professional and detail-oriented demeanor with the ability to manage sensitive information.
• Excellent communication skills, comfortable interacting with various levels of business lines and senior management.

Nice to Have

• Juris Doctor degree.
• Series 24, 63, 65, or 7 certifications.

What We Offer

• Competitive base salary, bonus, and equity compensation.
• Flexible Time Off (unlimited paid vacation days).
• Company-paid holidays (11) and sick leave.
• Health and protective benefits for employees and dependents.
• 3% 401(k) company contribution.
• Generous paid parental leave.
• Free virtual coaching and counseling sessions through Headspace.
• Opportunities to learn about the crypto industry.
• Smart, entrepreneurial, and fun colleagues.

Join us on our mission to engineer a new economic paradigm as a Compliance Associate/VP remote at Galaxy!