atGalaxy

Apr 25

Posted by Galaxy
Apr 25, 2024

Who You Are:

The Legal & Compliance Director 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.
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.
Help prepare both the CFTC annual report with regards to swap dealer’s compliance and the necessary filings regarding the CPO/CTA.
Identify, investigate and remediate weaknesses in relevant policies, procedures, systems and training.
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.

What We’re Looking For:

A minimum of 7 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
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