Compliance Associate/VP
Galaxy Digital Services is seeking a Compliance Associate/VP to oversee daily compliance operations within our investment advisory division. This role is integral to ensuring adherence to regulatory standards and enhancing compliance processes across the organization. The ideal candidate will possess a deep understanding of the Investment Advisers Act and have experience with compliance responsibilities of SEC-registered investment advisers in both retail and institutional settings.
Key responsibilities include reviewing, drafting, and implementing the firm's policies and procedures, executing compliance program testing, assisting with third-party vendor and client due diligence, preparing and assisting with required regulatory filings, managing independent RIA and broker-dealer activities, administering the Code of Conduct, reviewing advertising materials for regulatory compliance, and supporting internal and external business associates on compliance issues. Additionally, the role involves building, updating, and educating employees on rules and regulations through various training programs, identifying and managing risks related to third-party relationships and conflicts of interest, and collaborating with various departments to improve compliance monitoring systems and processes.
Candidates should have at least three years of experience in financial services compliance, particularly in reviewing marketing materials and monitoring investment guidelines. A strong understanding of SEC, FINRA, and CFTC regulations as they apply to digital assets is essential. The role requires the ability to work effectively in a fast-paced team environment, provide accurate and practical advice promptly, manage sensitive information, and interact comfortably with various business lines and senior management. Strong analytical and problem-solving skills, a professional and detail-oriented demeanor, and the ability to take initiative are also important.
Compensation for this position ranges from $130,000 to $170,000 annually. Galaxy Digital Services offers a comprehensive benefits package, including company-paid health and protective benefits for employees and their dependents, flexible time off, company-paid holidays, sick leave, a 3% 401(k) company contribution, generous paid parental leave, and free virtual coaching and counseling sessions through Headspace. Employees also have opportunities to learn about the cryptocurrency industry and work alongside smart, entrepreneurial, and fun colleagues.
Galaxy Digital Services is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. The company operates at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, the team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI. The company is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.