VP, Compliance Market Surveillance

About the role

The VP, Compliance Market Surveillance will lead Galaxy's surveillance program, covering both regulated entities and proprietary trading activities. Reporting directly to the Chief Compliance Officer, this role requires a minimum of 3 years of compliance surveillance experience, preferably in a sell-side environment.

Responsibilities

• Monitor trading and market activity to detect and address suspicious conduct, including fraud, market manipulation, insider trading, and other abusive practices.
• Develop and implement fraud detection and prevention strategies aligned with organizational and regulatory requirements.
• Coordinate with external vendors and the internal engineering team to align relevant stakeholders.
• Partner with cross-functional teams to establish, refine, and enforce compliance policies and controls.
• Investigate and analyze alerts from surveillance systems and prepare reports on findings with actionable recommendations.
• Ensure adherence to applicable regulatory requirements, including SEC, FINRA, CFTC, FCA, and other relevant bodies.
• Stay current on industry developments, emerging risks, and regulatory changes to ensure compliance measures remain robust and proactive.
• 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

• Highest level of attention to detail and organizational skills.
• Ability to apply traditional financial and legal concepts within the crypto space to navigate ambiguous situations and solve complex, novel problems.
• Product knowledge and transactional or regulatory experience within traditional Over-The-Counter (OTC) businesses.
• Background in traditional financial markets; sell-side experience supporting trading desks preferred.
• Experience managing multiple projects simultaneously in a fast-paced, evolving regulatory environment.
• Experience working with trade and market data, including the ability to identify and troubleshoot data quality, mapping, and integration issues.
• Familiarity with the flow of trading data from source systems into surveillance platforms, including validating data mappings, reconciling discrepancies, and partnering with Technology teams to support enhancements, testing, and ongoing system maintenance.
• Highly motivated, self-starter who takes initiative.
• Positive attitude, and willingness to roll up sleeves (no job too big, no job too small).
• Ability to think creatively and propose commercially pragmatic solutions.
• Collaborative team member with a high level of professionalism and business judgment.
• Excellent written and oral communication skills.

Qualifications

• Knowledge of the regulatory treatment of digital assets is a plus.

Skills

• Strong analytical and problem-solving skills.
• Excellent interpersonal and communication skills.
• Ability to manage multiple priorities and deadlines.
• Proficiency in Microsoft Office Suite.
• Experience with data analytics and reporting tools.

Benefits

• Competitive base salary and discretionary bonus.
• Hybrid/Flexible Working Arrangements.
• Flexible Time Off (paid).
• 3% 401(k) company contribution.
• Company-paid health and protective benefits for employees, partners, and other dependents.
• Generous paid Parental Leave.
• Competitive family planning benefits for US employees.
• Opportunities to learn about the Crypto industry.
• Social events and team-building activities.

Pay

Base Salary Range: $150,000 - $200,000 USD

Schedule

Hybrid/Flexible Working Arrangements