Compliance Analyst/Associate

Summary

Join Galaxy as a Compliance Analyst/Associate and contribute to implementing and maintaining the firm's compliance policies and procedures. Assist with identifying, classifying, and resolving potential conflicts of interest across the firm's subsidiaries. Collaborate with Internal and External Counsel in document production related to ad-hoc subpoenas and litigation-related matters.

Requirements

• 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

Responsibilities

• 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

Preferred Qualifications

• 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)

Benefits

• 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