Compliance Associate/​VP - Remote Opportunity at Galaxy

About the Role

We are seeking a skilled Compliance Associate/VP remote to join Galaxy, a global leader in digital assets and data center infrastructure. In this role, you will be responsible for overseeing compliance functions related to our investment advisory business. You will work closely with various teams to ensure that our operations align with regulatory standards, particularly focusing on the Investment Advisers Acts and SEC regulations.

What You'll Do

• Conduct ongoing reviews, drafting, and implementing the Firm’s policies and procedures.
• Execute compliance program testing of policies and procedures.
• Assist with third-party vendor and client due diligence processes and procedures.
• Prepare and assist with required regulatory filings as needed.
• Manage independent RIA and broker-deal 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.
• Support internal/external business associates on investment advisory and broker-deal compliance issues.

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.
• Excellent communication skills, comfortable interacting with various business levels and conducting presentations.
• Professional and detail-oriented demeanor with the ability to manage sensitive information.

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.
• Comprehensive 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.

Join us on our mission to engineer a new economic paradigm as a Compliance Associate/VP remote and help shape the future of finance and technology.