Vice President, Legal and Compliance - CFTC Compliance

About the role

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.

Responsibilities

• 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.
• Liaise 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.

Requirements

• 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.

Bonus points

• Knowledge of the regulatory treatment of digital assets.

Qualifications

• Experience in a regulated environment.
• Ability to work independently and as part of a team.
• Excellent communication and interpersonal skills.
• Strong analytical and problem-solving skills.
• Ability to prioritize tasks and meet deadlines.

Skills

• Regulatory compliance and risk management.
• Product development and implementation.
• Regulatory reporting and filing.
• Regulatory research and analysis.
• Regulatory reporting and filing.
• Regulatory research and analysis.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.
• Regulatory reporting and filing.