Vice President, Legal and Compliance - CFTC Compliance

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 Legal & Compliance Vice President 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.

• →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.
• →Create/maintain policies and procedures and administer training.
• →Perform e-communication surveillance and Compliance testing for the Swap Dealer.
• →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.
• →Participate in and support governance activities.
• →Help prepare both the CFTC annual report with regards to swap dealer’s compliance and the necessary filings regarding the CPO/CTA.
• →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.
• →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.

• A minimum of 5 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.