Compliance Associate/VP
About The Position
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.
Requirements
- 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
Nice To Haves
- Juris Doctor degree a plus
- Series 24, 63, 65, 7 would also be a plus
Responsibilities
- 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
Benefits
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
501-1,000 employees
