Compliance Associate/VP

We are a diverse team of free thinkers, and fast movers united to help investors and creators energize the global economy. We are looking for individuals who thrive in a culture of builders and overachievers and embrace high performance, transparent feedback, and a mission-first approach. Our culture shapes our way of working and gets us where we want to be.

• Seek Excellence.
• Be Selective To Be Effective.
• Be Highly Aligned, Loosely Coupled.
• Disagree Transparently.
• Encourage Independent Decision-Making.
• Build Dream Teams.

The Compliance Associate/VP will be responsible for day-to-day compliance functions relating to our investment advisory business. The individual must have knowledge of the Investment Advisers Acts and experience with compliance responsibilities of SEC-registered investment advisers (“RIAs) in the retail and institutional space. General Responsibilities will include regulatory oversight, investment guideline and risk management, policy implementation of all investment advisory relationships and review and approval of marketing materials relating to Galaxy Digital.

• →Ongoing review, drafting and implementing of the Firm’s policies and procedures;
• →Executing compliance program testing of policies procedures;
• →Assisting with third party vendor and client due diligence process and procedures;
• →Preparing and assisting with the required regulatory filings as needed;
• →Assist with management of independent RIA and broker-deal activity, compliance, and recordkeeping;
• →Assist with administration of Code of Conduct, including logging and management of information barriers and conflicts of interest;
• →Review advertising materials, including websites to ensure compliance with various regulations;
• →Assist with identifying, compiling and categorizing assets for internal and regulatory reporting and SEC filings, including custody, Forms ADV and Form PF;
• →Support internal/external business associates on investment advisory and broker-deal compliance issues;
• →Build, update and educate employees on rules and regulations via various trainings;
• →Help to identify, prioritize, and elevate risks related to, third party relationships, or general conflicts of interest;
• →Partnering with Operations, Client Services, the Investment Teams and other constituents to ensure continual improvement of compliance monitoring systems, processes and oversight
• →Other general compliance roles and responsibilities as may be assigned from time to time
• →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.

• Juris Doctor degree a plus
• Series 24, 63, 65, 7 would also be a plus