Legal and Compliance Director
About Us:
We at Galaxy are dedicated to creating products and services that facilitate global investment in economic progress. Our focus on crypto and blockchain innovations aims to enhance all sectors of the global economy. Our mission is to create a society where value and ownership move as freely as information. Galaxy is a trailblazer in digital assets and blockchain, assisting institutions, startups, and individuals in engaging with the crypto economy. As a well-capitalized and reputable company in the industry, we offer tailored platform solutions for the digital age through three core businesses: Global Markets, Asset Management, and Digital Infrastructure Solutions. Services we provide include trading, lending, advisory services, investment solutions, proprietary bitcoin mining, network validator services, and enterprise custodial technology. Our CEO and Founder, Michael Novogratz, leads a team passionate about the future of finance and Web3. Based in New York City, we operate globally across North America, Europe, and Asia.
Core Values:
Our team comprises diverse and agile individuals focused on empowering global investors and creators. We are seeking team members who excel in a culture of innovation and achievement, embracing performance excellence, open feedback, and a mission-oriented mindset. Our culture shapes our work methodology and guides us towards our goals:
- Strive for Excellence
- Be Selective for Effectiveness
- Maintain High Alignment with Loose Coupling
- Encourage Transparent Disagreements
- Foster Independent Decision-Making
- Build Exceptional Teams
Your Role:
As the Legal & Compliance Director, you will serve as the Compliance Officer for both the Swap Dealer and the Commodity Pool Operator/Commodity Trade Advisor at Galaxy Digital L.P. This responsibility involves establishing, maintaining, and enhancing compliance programs for the CFTC oversight and relevant activities concerning the CPO/CTA within the sales and trading team.
Responsibilities:
- Oversee Galaxy's CFTC compliance efforts for swap activities and relevant dealings with the CPO/CTA.
- Offer compliance guidance to the swap dealer and CPO/CTA across U.S. offices, global jurisdictions, and all branch offices.
- Assess new products and business initiatives to address compliance issues effectively.
- Manage relationships and communications with regulators like the NFA for examinations, inquiries, and compliance matters.
- Assist in preparing CFTC annual reports for swap dealer compliance and required filings for the CPO/CTA.
- Identify and rectify weaknesses in policies, procedures, systems, and training.
- Develop supervisory guidelines to mitigate conflicts of interest across business lines.
- Collaborate with other teams within Galaxy, including Legal, Finance, Risk, Operations, and IT to ensure compliance across the board.
Requirements:
- Minimum of 7 years of legal or compliance experience, preferably within a U.S. sell-side firm.
- Extensive knowledge of OTC derivatives and swap dealer regulations.
- Demonstrated experience implementing and executing swap dealer compliance programs in a registered swap dealer setup.
- JD or MBA degree.
Preferred Qualifications:
- Familiarity with the regulatory aspect of digital assets.
Benefits:
- Competitive base salary with discretionary bonus
- Flexible Paid Time Off
- Paid Holidays and sick leave
- Health and protective benefits coverage
- 3% 401(k) company contribution
- Parental Leave
- Free virtual coaching and counseling sessions
- Learning opportunities in the Crypto industry
- Daily snacks, smart colleagues, and Employee Resource Groups
Join us in reshaping the economic landscape with innovation and purpose.
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