Compliance Associate/VP
$130k - $170k USD
Who We Are:
Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the world – and we’re building the products and services to make that future a reality.
Our institutional digital assets platform spans trading, investment banking, asset management, staking, self-custody, and tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S.
We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.
Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.
To learn more about our businesses and products, visit 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:
- Juris Doctor degree a plus
- Series 24, 63, 65, 7 would also be 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 Headspace
- 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—$170,000 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.