Swap Dealer Chief Compliance Officer

Galaxy logoGalaxy

Feb 23

Who You Are:

The Chief Compliance Officer of the Swap Dealer will be responsible for establishing, maintaining and developing Galaxy’s swap dealer compliance program for CFTC swap dealer activities. The swap dealer is a direct subsidiary of Galaxy Digital L.P. and sits within the sales and trading team.

What You’ll Do:

  • Be responsible for Galaxy’s CFTC swap dealer compliance program, covering swap activities in digital assets.
  • Manage the swap dealer team with advisory coverage of swap dealer including sales and trading activity in the U.S. office, as well as the global impact of the relevant U.S. regulations.
  • 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 examinations, inquiries, and issues.
  • Prepare the CFTC annual report that contains a description of the swap dealer’s compliance with the applicable regulations.
  • Identify, investigate and remediate weaknesses in relevant policies, procedures, systems and training.
  • Laisse with other teams within the swap dealer, 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.

Bonus Points:

  • JD or MBA degree required; and
  • Knowledge of the regulatory treatment of digital assets

What We Offer:

  • Competitive base salary, bonus, and equity compensation
  • 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
  • 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

*Benefits may vary depending on location.

Apply now and join us on our mission to engineer a new economic paradigm.

Listed in: Crypto Jobs, Non Tech Web3 Jobs, Trading Web3 Jobs, Sales Web3 Jobs, Legal Crypto Jobs, Operations Web3 Jobs, Developer Crypto Jobs, Compliance Web3 Jobs, Finance Crypto Jobs, Full Time Crypto Jobs.

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9 applications