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    Compliance Analyst - New York, United States - Galaxy Digital

    Galaxy Digital
    Galaxy Digital New York, United States

    1 week ago

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    Description

    Who You Are:


    The Compliance Analyst will be responsible for implementing the firm's compliance policies related to the review and approval of marketing materials relating to Galaxy Digital.

    The Compliance Analyst will also be asked to help review marketing materials for Galaxy Digital's broker-dealer and asset management business.


    What You'll Do:

    • Update and manage firm policies and procedures across multiple business lines relating to marketing review
    • Review marketing and research materials and monitor marketing activities to promote compliance with internal policies, applicable rules and regulations
    • Review social media, event speaking requests and other firm-related disclosures
    • Monitor ongoing regulatory actions to ensure that marketing and advertising reviews are conducted with the most up-to-date industry knowledge
    • Work closely with marketing personnel to ensure compliance with internal policies and procedures and to assist with efficient workflow
    • Such other responsibilities as may be assigned from time to time

    What We're Looking For:

    • At least 2 years experience in financial services compliance reviewing marketing materials
    • Ability to apply SEC, FINRA and CFTC regulation to Digital Assets
    • Ability to work effectively in a fast-paced team environment
    • Ability to provide accurate, direct and practical advice in a timely fashion
    • Detail oriented with the ability to assess and prioritize projects

    Bonus Points:

    • JD a plus but not required
    • Series 24, 63, 65, 7 a plus but not required

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