Who You Are:The Legal & Compliance Vice President will be a Compliance Officer of both the Swap Dealer and the Commodity Pool Operator/Commodity Trade Advisor and will be responsible for establishing, maintaining and developing Galaxy's related compliance program for the relevant activities. Both the swap dealer and the CPO/CTA are both direct subsidiaries of Galaxy Digital L.P. and both entities sit within the sales and trading team.
What You'll Do:- Be responsible for Galaxy's CFTC compliance programs, covering swap activities and any related activities to the CPO/CTA.
- Provide advisory coverage to the swap dealer and CPO/CTA including sales and trading activity in the U.S. offices, other relevant global jurisdiction and any branch offices.
- Evaluate new products, programs, services and business initiatives to ensure compliance issues are identified and addressed.
- Create/maintain policies and procedures and administer training.
- Perform e-communication surveillance and Compliance testing for the Swap Dealer.
- Serve as a point of contact and manage relationships with the regulators (e.g. the NFA) with regards to swap dealer and CPO/CTA examinations, inquiries, and issues.
- Participate in and support governance activities.
- Help prepare both the CFTC annual report with regards to swap dealer's compliance and the necessary filings regarding the CPO/CTA.
- Focus on developing supervisory procedures that manage potential conflicts of interest across the firm's business lines.
- Laisse with other teams within Galaxy, such as Legal, Finance, Risk, Operations, and IT to ensure compliance with applicable requirements.
- Embrace and champion the thoughtful adoption of AI to improve team performance and business outcomes.
- Leverage AI tools (e.g., generative AI, automation platforms, data copilots) to improve productivity, decision-making, and output quality in your day-to-day work.
What We're Looking For:- A minimum of 5 years of legal or compliance experience/background preferably with a U.S. sell-side firm.
- Strong product knowledge and regulatory experience within the OTC derivatives and swap dealer businesses.
- Demonstrated experience with the implementation and execution of swap dealer compliance program at a registered swap dealer.
- JD or MBA degree.
Bonus Points: - Knowledge of the regulatory treatment of digital assets.
What We Offer:- Competitive base salary and discretionary bonus
- Hybrid/Flexible Working Arrangements
- Flexible Time Off (paid)
- 3% 401(k) company contribution
- Company-paid health and protective benefits for employees, partners, and other dependents
- Generous paid Parental Leave
- Competitive family planning benefits for US employees
- Opportunities to learn about the Crypto industry
- Smart, entrepreneurial, and fun colleagues
- Free daily snacks and weekly breakfasts/lunches
- Employee Resource Groups
- Free coaching and counseling sessions through Headspace
Apply now and join us on our mission to engineer a new economic paradigm.
The base salary ranges included below will be commensurate with candidate experience, expertise and local market. Final offer amounts are determined by multiple factors, including candidate experience and expertise. At Galaxy, we maintain a total compensation philosophy which consists of a competitive base salary, annual bonus, and equity incentives.
Base Salary Range
$180,000-$240,000 USD
