Compliance Associate/VP, Galaxy

• 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

Desirable

• 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
• 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