Compliance Market Surveillance Manager

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

As a Compliance, Market Surveillance Manager, you will join an experienced and collaborative Compliance team as a key contributor with regards to the company’s surveillance program. You will be responsible for establishing, maintaining and developing Galaxy’s surveillance program which covers various regulated entities as well as proprietary trading. The ideal hire should have minimum of 5 - 7 years’ experience at a large sell side bank. 

What You’ll Do

• Actively monitor and conduct surveillance on trading and market activities to detect and address suspicious activities, including fraud, market manipulation, insider trading, and other abusive practices.
• Develop and implement fraud detection and prevention strategies in alignment with organizational and regulatory requirements.
• Collaborate with cross-functional teams to establish, refine, and enforce compliance-related policies and controls to minimize risks.
• Investigate and analyze alerts from surveillance systems and prepare reports on findings with actionable recommendations.
• Ensure adherence to regulatory requirements, including those from authorities such as the SEC, FINRA, CFTC, FCA and other applicable bodies.
• Stay abreast of industry developments, emerging risks, and regulatory changes to maintain robust and proactive compliance measures.

What We’re Looking For

• The ideal candidate will be highly organized, have meticulous attention to detail and a demonstrable ability to produce quality work product in a fast-paced, high-volume environment.
• Ability to apply traditional financial legal concepts within the crypto space to address unique or ambiguous situations and to find solutions to problems that can be complex and uncommon.
• At least 5 - 7 years’ of compliance surveillance experience.
• Product knowledge and transactional or regulatory experience within traditional Over-The-Counter “OTC” businesses.
• Experience traditional financial markets, preferable experience at a sell side bank supporting trading desks.
• Ability to work well in fast-paced business and evolving regulatory environment and to manage multiple projects simultaneously.
• Highly motivated, self-starter who takes initiative.
• Positive attitude, and willingness to roll up sleeves (no job too big, no job too small);
• Ability to think creatively and propose commercially pragmatic solutions.
• Collaborative team member with a high level of professionalism and business judgment;
• Excellent written and oral communication skills.
• Bachelors’ degree

Bonus Points

• Knowledge of the regulatory treatment of digital assets

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 Headspace 
• 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.