Head of Broker Dealer

Who We Are:
Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the world – and we’re building the products and services to make that future a reality.
 
Our institutional digital assets platform spans trading, investment banking, asset management, staking, self-custody, and tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S.
 
We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI.
 
Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia.
 
To learn more about our businesses and products, visit 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 Head of Brokerage / Broker Dealer CEO will serve as one of two principals for GalaxyOne’s introducing Broker Dealer, overseeing its operations, compliance, and strategic growth. This role requires a seasoned leader with deep expertise in securities regulations, brokerage operations, and client service management. The successful candidate will ensure seamless coordination with our clearing Broker Dealer, drive compliance with all applicable regulations, and contribute strategically to the development and roadmap of brokerage products within the GalaxyOne platform. This is an entrepreneurial leadership role for a visionary who thrives in a fast-paced, innovative environment.

What You’ll Do:

• Broker Dealer Leadership: Act as one of two principals for the introducing Broker Dealer, overseeing its operations and ensuring alignment with GalaxyOne’s mission and objectives.
• Team Oversight: Manage the second principal, a compliance professional, and supervise client service representatives to ensure exceptional service delivery and operational efficiency.
• Regulatory Compliance: Ensure full compliance with all securities regulations (e.g., SEC, FINRA, and state-specific requirements), leveraging in-house and external compliance resources.
• Strategic Contribution: Collaborate with senior leadership to define the strategy and roadmap for brokerage products, identifying opportunities for innovation, product expansion, and market differentiation.
• Partnership Management: Oversee relationships with the clearing Broker Dealer and other external partners to ensure seamless execution of brokerage services.
• Client Experience: Champion a client-centric approach, ensuring the brokerage offering delivers a superior, tech-driven experience for GalaxyOne users.
• Risk Management: Identify and mitigate operational, regulatory, and reputational risks associated with the Broker Dealer’s activities.
• Performance Metrics: Establish and monitor KPIs to measure the success of the brokerage operations, client satisfaction, and product growth, reporting progress to senior leadership.
• Innovation & Growth: Drive the development and launch of new brokerage-related products or features, integrating cutting-edge technology and aligning with GalaxyOne’s vision.

What We’re Looking For:

• Experience: Minimum of 10+ years in the securities or brokerage industry, with at least 5 years in a senior leadership role overseeing broker-dealer operations or strategy.
• Licensing: Active FINRA Series 7, Series 24 (General Securities Principal), and Series 63 or 66 licenses required; additional relevant licenses (e.g., Series 4, 53, or 79) preferred.
• Regulatory Expertise: Deep knowledge of SEC, FINRA, and state securities regulations, with a proven track record of ensuring compliance in a broker-dealer environment.
• Leadership Skills: Strong ability to lead and manage teams, including compliance professionals and client service representatives, fostering a culture of accountability and innovation.
• Strategic Vision: Experience contributing to product strategy and roadmaps, ideally within a fintech or digital platform environment.
• Technical Acumen: Familiarity with fintech platforms, digital brokerage solutions, and blockchain-based technologies is a plus.
• Communication: Exceptional interpersonal and presentation skills, with the ability to engage internal teams, external partners, and regulators effectively.
• Education: Bachelor’s degree in finance, business, or a related field; MBA or advanced degree preferred.

Bonus Points:

• Entrepreneurial mindset with a track record of building or scaling brokerage operations in a competitive, technology-driven market.
• Experience working with introducing and clearing Broker Dealer relationships.
• Established network within the securities and fintech ecosystem.
• Passion for leveraging technology to transform traditional brokerage services.
• Comfort operating in a high-growth, dynamic environment with a bias for action.

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
• 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.