Investment Guideline Compliance

Who We Are:

At Galaxy we are building products and services to help the world invest in economic progress. We believe crypto and blockchain innovations will permeate and improve all aspects of our global economy. Our vision is a society where value and ownership flow as freely as information. Galaxy is a digital asset and blockchain leader helping institutions, startups, and individuals access and navigate the crypto economy. As one of the most well-capitalized and trusted companies in the industry, we provide platform solutions custom-made for a digitally native ecosystem across three complementary operating businesses: Global Markets, Asset Management, and Digital Infrastructure Solutions. Our offerings include, amongst others, trading, lending, strategic advisory services, institutional-grade investment solutions across passive, active and venture strategies, proprietary bitcoin mining and hosting services, network validator services, and the development of enterprise custodial technology. Galaxy’s CEO and Founder Michael Novogratz leads a team of crypto enthusiasts, and institutional veterans focused on the future of finance and Web3. The Company is headquartered in New York City, with global offices across North America, Europe and Asia.

Additional information about the Company's businesses and products is available on www.galaxy.com.

What We Value:

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.

What You’ll Do:

• Interpret and implement client, regulatory, and internal investment guidelines into the Bloomberg AIM compliance system.
• Collaborate with various groups at all levels of seniority to interpret investment restrictions within Legal & Compliance, Portfolio Management, Product Strategy and Trading.
• Direct the creation of compliance rules within the compliance system and conduct independent reviews of rules created by coding resources, ensuring accuracy and compliance
• Research and address inquiries related to investment guidelines from internal and external stakeholders.
• Assist with pre- and post-trade monitoring of investment and trading activities to ensure adherence to compliance regulations. 
• Assess the firm’s guideline monitoring risks and identify breaches to policies. Communicate any identified breaches to portfolio managers for validation and resolution. Log and monitor open breaches, ensuring timely resolution of discrepancies. 
• Support the client onboarding process by working with institutional advisory services and updating client investment guidelines. Provide regular certifications of investment guideline compliance to clients on a monthly, quarterly, and annual basis.
• Review daily alerts from investment management agreements and data systems to validate potential guideline breaches.
• Remain current with regulatory matters and assist with regulatory examinations and internal audits.
• Take ownership of understanding client accounts, including separately managed accounts (SMAs), sub-advised funds, ETFs, pooled vehicles, and private/hedge funds.
• Participate in ad hoc projects relation to investment guideline interpretation and compliance.
• Develop and draft policies and procedures related investment guideline compliance.

What We’re Looking For:

• Bachelors degree
• At least 5 years’ of work experience in a similar role
• Familiarity and previous experience with Bloomberg AIM a must.
• Strong analytical skills and attention to detail.
• Excellent communication and interpersonal skills.
• Ability to manage multiple tasks and work collaboratively across teams.
• Knowledge of federal security laws and investment compliance guidelines.

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.

The base salary ranges included below will be commensurate with candidate experience, expertise and local market. Final offer amounts are determined by multiple factors, including candidate experience and expertise. At Galaxy, we maintain a total compensation philosophy which consists of a competitive base salary, annual bonus, and equity incentives.

Base Salary Range$140,000—$180,000 USD

Galaxy respects diversity and seeks to provide equal employment opportunities to all employees and job applicants for employment without regard to actual or perceived age, race, color, creed, religion, sex or gender (including pregnancy, childbirth, lactation and related medical conditions), gender identity or gender expression (including transgender status), sexual orientation, marital or partnership or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, protected medical condition as defined by applicable state or local law, genetic information or predisposing genetic characteristic, or other characteristic protected by applicable federal, state, or local laws and ordinances.

We will endeavor to make a reasonable accommodation to the known limitations of a qualified applicant with a disability unless the accommodation would impose an undue hardship on the operation of our business. If you believe you require such assistance to complete the application process or to participate in an interview, please contact  

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