Compliance Associate/VP

Galaxy(13 days ago)

New York, NYOnsiteFull TimeSenior$130,000 - $170,000Compliance

About this role

The Compliance Associate/VP will manage day-to-day compliance functions for Galaxy’s investment advisory business, ensuring adherence to SEC, FINRA, and CFTC regulations as they relate to digital assets. The role supports regulatory oversight, policy implementation, and review of marketing materials and regulatory filings for SEC-registered RIAs serving retail and institutional clients.

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Required Skills

Regulatory Oversight
Policy Implementation
Compliance Testing
Vendor Due Diligence
Regulatory Filings
Investment Monitoring
Advertising Review
Risk Management
Training
Recordkeeping

+1 more

Qualifications

Juris Doctor
Series 24
Series 63
Series 65
Series 7

About Galaxy

galaxy.com

Galaxy is a diversified financial services and investment firm focused on digital assets and blockchain technology. It serves institutional clients with trading, asset management, investment banking/advisory, principal investments, and technology operations including crypto mining and data centers. The firm emphasizes institutional‑grade infrastructure, custody, liquidity and risk‑managed solutions to support capital raising and market access in the crypto ecosystem. Founded by Mike Novogratz, Galaxy positions itself as a full‑service partner for institutions entering digital asset markets.