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Legal and Compliance Director
4 months ago
Who You Are:
The Legal & Compliance Director 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.
What You'll Do:
* 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.
* 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.
* Help prepare both the CFTC annual report with regards to swap dealer's compliance and the necessary filings regarding the CPO/CTA.
* Identify, investigate and remediate weaknesses in relevant policies, procedures, systems and training.
* 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.
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.
* JD or MBA degree.
Bonus Points:
* Knowledge of the regulatory treatment of digital assets.
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.
