Vice President, Legal and Compliance - CFTC Compliance

Galaxy•New York, NY

6h•Hybrid

About The Position

The Legal & Compliance Vice President will be a Compliance Officer of both the Swap Dealer and the Commodity Pool Operator/Commodity Trade Advisor and will be responsible for establishing, maintaining and developing Galaxy’s related compliance program for the relevant activities. Both the swap dealer and the CPO/CTA are both direct subsidiaries of Galaxy Digital L.P. and both entities sit within the sales and trading team.

Requirements

A minimum of 5 years of legal or compliance experience/background preferably with a U.S. sell-side firm.
Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses.
Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.
JD or MBA degree.

Nice To Haves

Knowledge of the regulatory treatment of digital assets.

Responsibilities

Be responsible for Galaxy’s CFTC compliance programs, covering swap activities and any related activities to the CPO/CTA.
Provide advisory coverage to the swap dealer and CPO/CTA including sales and trading activity in the U.S. offices, other relevant global jurisdiction and any branch offices.
Evaluate new products, programs, services and business initiatives to ensure compliance issues are identified and addressed.
Create/maintain policies and procedures and administer training.
Perform e-communication surveillance and Compliance testing for the Swap Dealer.
Serve as a point of contact and manage relationships with the regulators (e.g. the NFA) with regards to swap dealer and CPO/CTA examinations, inquiries, and issues.
Participate in and support governance activities.
Help prepare both the CFTC annual report with regards to swap dealer’s compliance and the necessary filings regarding the CPO/CTA.
Focus on developing supervisory procedures that manage potential conflicts of interest across the firm’s business lines.
Laisse with other teams within Galaxy, such as Legal, Finance, Risk, Operations, and IT to ensure compliance with applicable requirements.
Embrace and champion the thoughtful adoption of AI to improve team performance and business outcomes.
Leverage AI tools (e.g., generative AI, automation platforms, data copilots) to improve productivity, decision-making, and output quality in your day-to-day work.

Benefits

Competitive base salary and discretionary bonus
Hybrid/Flexible Working Arrangements
Flexible Time Off (paid)
3% 401(k) company contribution
Company-paid health and protective benefits for employees, partners, and other dependents
Generous paid Parental Leave
Competitive family planning benefits for US employees
Opportunities to learn about the Crypto industry
Smart, entrepreneurial, and fun colleagues
Free daily snacks and weekly breakfasts/lunches
Employee Resource Groups
Free coaching and counseling sessions through Headspace