Core Compliance Analyst/Associate

Who We Are:

At Galaxy we are building products and services to help the world invest in economic progress. We believe crypto and blockchain innovations will permeate and improve all aspects of our global economy. Our vision is a society where value and ownership flow as freely as information. Galaxy is a digital asset and blockchain leader helping institutions, startups, and individuals access and navigate the crypto economy. As one of the most well-capitalized and trusted companies in the industry, we provide platform solutions custom-made for a digitally native ecosystem across three complementary operating businesses: Global Markets, Asset Management, and Digital Infrastructure Solutions. Our offerings include, amongst others, trading, lending, strategic advisory services, institutional-grade investment solutions across passive, active and venture strategies, proprietary bitcoin mining and hosting services, network validator services, and the development of enterprise custodial technology. Galaxy’s CEO and Founder Michael Novogratz leads a team of crypto enthusiasts, and institutional veterans focused on the future of finance and Web3. The Company is headquartered in New York City, with global offices across North America, Europe and Asia.

Additional information about the Company's businesses and products is available on www.galaxy.com.

What We Value:

We are a diverse team of free thinkers, and fast movers united to help investors and creators energize the global economy. We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. Our culture shapes our way of working and gets us where we want to be.

• Seek Excellence.
• Be Selective To Be Effective.
• Be Highly Aligned, Loosely Coupled.
• Disagree Transparently.
• Encourage Independent Decision-Making.
• Build Dream Teams.

Who You Are:

The Compliance Analyst/Associate will be responsible for assistance in implementing and maintaining the firm’s compliance policies and procedures that are part of its robust Global Code of Ethics and Business Conduct Program, as well as compliance policies related to the firm’s various business units.  The candidate will also assist with identifying, classifying, and resolving potential conflicts of interest across the firm’s subsidiaries, including the firm’s FINRA registered Broker-Dealer, SEC registered investment advisor, and NFA Member entities.  This individual will assist with, filing regulatory reports and in responding to regulatory inquiries and exams. 

What You’ll Do:

• Administration of the firm’s Global Code of Ethics and Business Conduct Program, which includes policies on personal trading, private investments, outside affiliations, gifts and entertainment, and political contributions.
• Assist with updating and managing firm’s compliance policies and procedures.
• Assist with responding to regulatory inquiries and subpoenas and file reports with government agencies, when necessary
• Assist with the development of the firm’s process for handling conflicts of interest across all of the firm’s subsidiaries.
• Collaborate with Internal and External Counsel in document production related to ad-hoc subpoenas and litigation related matters

What We’re Looking For:

• At least 2-5 years of experience at an SEC registered investment advisor or FINRA member firm.
• Experience using a web-based compliance management platform/solution (i.e., ComplySci)
• Highly organized and able to manage multiple deliverables
• Familiar with drafting and reviewing policy and procedures across various compliance functions
• Ability to work with various business units to create tailored compliance solutions
• Takes ownership of projects and works well independently
• Bachelor’s Degree

Bonus Points:

• Interest and/or knowledge of the regulatory treatment of digital assets with an ability to apply applicable SEC and CFTC regulations
• Experience using a cloud-based e-discovery platform (i.e., Everlaw)

What We Offer:

• Competitive base salary and discretionary bonus
• 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 Ginger
• Opportunities to learn about the Crypto industry
• Free daily snacks in-office
• Smart, entrepreneurial, and fun colleagues
• Employee Resource Groups

Apply now and join us on our mission to engineer a new economic paradigm.

Galaxy respects diversity and seeks to provide equal employment opportunities to all employees and job applicants for employment without regard to actual or perceived age, race, color, creed, religion, sex or gender (including pregnancy, childbirth, lactation and related medical conditions), gender identity or gender expression (including transgender status), sexual orientation, marital or partnership or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, protected medical condition as defined by applicable state or local law, genetic information or predisposing genetic characteristic, or other characteristic protected by applicable federal, state, or local laws and ordinances.

We will endeavor to make a reasonable accommodation to the known limitations of a qualified applicant with a disability unless the accommodation would impose an undue hardship on the operation of our business. If you believe you require such assistance to complete the application process or to participate in an interview, please contact careers@galaxy.com.