VP, Compliance Market Surveillance

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.

As a Compliance, Market Surveillance Vice President, you will join an experienced and collaborative Compliance team as a key contributor to the company’s surveillance program. You will own Galaxy’s surveillance program, spanning various regulated entities as well as proprietary trading. The ideal candidate will have a minimum of 3 years’ experience at a large sell-side bank.

• →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 in alignment 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 those of the 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.

• Highly organized with meticulous attention to detail and a proven ability to deliver quality work in a fast-paced, high-volume environment.
• Ability to apply traditional financial and legal concepts within the crypto space to navigate ambiguous situations and solve complex, novel problems.
• 3 to 5 years of compliance surveillance experience.
• 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.
• Comfortable 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, is highly desirable.
• 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.