Vice President of Legal and Compliance (CFTC Compliance)

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 (Desirable) Knowledge of the regulatory treatment of digital assets What the job involves 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 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 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 Laisse 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 #J-18808-Ljbffr Galaxy