Vice President, Legal and Compliance

## **Who We Are:** Galaxy is a global leader in digital assets and data center infrastructure, delivering solutions that accelerate progress in finance and artificial intelligence. We believe that blockchain and digital asset innovation will transform how value moves through the world – and we’re building the products and services to make that future a reality. Our institutional digital assets platform spans trading, investment banking, asset management, staking, self-custody, and tokenization technology. We also invest in and operate cutting-edge data center infrastructure to power AI and high-performance computing, addressing the growing demand for scalable energy and compute in the U.S. We work at the intersection of finance and technology, helping institutions, startups, and developers navigate a digitally native economy. Led by CEO and Founder Michael Novogratz, our team blends deep crypto expertise with institutional experience and a shared commitment to shaping the future of Web3 and AI. Galaxy is headquartered in New York City, with offices across North America, Europe, the Middle East, and Asia. To learn more about our businesses and products, visit www.galaxy.com.

## **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. - 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.

## **What We’re Looking For:** - 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.

## **What We Offer:** - 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 - Smart, entrepreneurial, and fun colleagues - Free daily snacks and weekly breakfasts/lunches - Employee Resource Groups - Free coaching and counseling sessions through Headspace.

Galaxy Digital is a technology-driven financial services and investment management firm providing institutions and direct clients with comprehensive solutions across the digital assets ecosystem. The company operates two main business segments: Digital Assets (offering trading, asset management, lending, and advisory services) and Data Centers (developing AI and high-performance computing infrastructure).