Galaxy · 22 hours ago
Compliance Associate/VP
New York, NY
Full-time
Onsite
Mid Level
$130K/yr - $170K/yr
3+ years expGalaxy Digital Services is a global leader in digital assets and data center infrastructure, seeking a Compliance Associate/VP to manage day-to-day compliance functions for their investment advisory business. The role involves regulatory oversight, policy implementation, and ensuring compliance with SEC regulations for investment advisers.
Asset ManagementBankingCryptocurrencyFinancial ServicesFinTech
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
Qualification
Required
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
Preferred
Juris Doctor degree a plus
Series 24, 63, 65, 7 would also be a plus
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
Company
Galaxy
Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence.
501-1000 employees
Funding
Current Stage
Public CompanyTotal Funding
$4.71BKey Investors
Michael NovogratzHCM Capital
2025-12-11Post Ipo Debt· $50M
2025-10-27Post Ipo Debt· $1.15B
2025-10-10Post Ipo Equity· $460M
Leadership Team
Sam Englebardt
Co-Founder and Managing Director
Luka Jankovic
Head of Lending, Managing Director
Recent News
2026-01-22
Company data provided by crunchbase