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Compliance Associate/VP

1 hour, 19 minutes ago
United States
Full-time
Junior
Compliance Manager
Finance and Accounting
Generative AI
Apply Now
Galaxy

Galaxy

Galaxy is a leading financial services firm in digital assets and blockchain, providing a full range of solutions to institutions and clients worldwide.

Capital Markets
251-1K
Founded 2018
$505M raised
View All Jobs 14

Description

  • Oversee day-to-day compliance functions for the investment advisory business.
  • Review, draft, and implement firm policies and procedures.
  • Execute compliance program testing of policies and procedures.
  • Support third-party vendor and client due diligence processes.
  • Prepare and assist with required regulatory filings, including SEC filings.
  • Assist with management of independent RIA and broker-dealer activity, compliance, and recordkeeping.
  • Administer the Code of Conduct, including management of information barriers and conflicts of interest.
  • Review advertising and marketing materials, including websites, for regulatory compliance.
  • Identify, compile, and categorize assets for internal and regulatory reporting, including custody, Forms ADV, and Form PF.
  • Train and educate employees on rules and regulations, and support compliance monitoring improvements with cross-functional teams.
  • Use AI tools and champion AI adoption to improve productivity, decision-making, and output quality.

Requirements

  • At least 3 years of experience in financial services compliance.
  • Experience reviewing marketing materials and/or monitoring investment guidelines.
  • Knowledge of the Investment Advisers Act and compliance responsibilities of SEC-registered investment advisers (RIAs).
  • Ability to apply SEC, FINRA, and CFTC regulations to digital assets.
  • Ability to work effectively in a fast-paced team environment.
  • Ability to provide accurate, direct, and practical advice in a timely manner.
  • Ability to manage sensitive information.
  • Comfort interacting with all levels of business lines and senior management.
  • Strong analytical, problem-solving, and sound judgment skills.
  • Professional, detail-oriented demeanor with initiative and strong prioritization skills.
  • Juris Doctor degree is a plus.
  • Series 24, 63, 65, and 7 licenses are a plus.

Benefits

  • Competitive base salary of $130,000 to $170,000 USD.
  • Annual bonus and equity compensation.
  • Flexible Time Off, including unlimited paid vacation days.
  • 11 company-paid holidays and company-paid sick leave.
  • Company-paid health and protective benefits for employees, partners, and dependents.
  • 3% company 401(k) contribution.
  • Generous paid parental leave.
  • Competitive family planning benefits for US employees.
  • Free virtual coaching and counseling sessions through Headspace.
  • Opportunities to learn about the crypto industry.
  • Free daily snacks in the office.
  • Employee Resource Groups.

Interested in this position?

Apply directly on the company website

Apply Now

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