Compliance Associate

Galaxy; United States; Remote; USD 80,000 - 100,000; Full time

Job summary

A leading financial technology firm is seeking a Compliance Associate to coordinate compliance activities across KYC, KYB, transaction monitoring, and regulatory licensing. This fully remote role requires at least 5 years of experience in compliance within a regulated institution and a strong understanding of BSA/AML regulations. The successful candidate will contribute to developing compliance policies and managing fraud investigation efforts. Competitive salary and benefits offered.

Benefits

Competitive base salary

Discretionary bonus

Flexible remote work schedule

Company-paid health benefits

401(k) contribution

Employee Resource Groups

Qualifications

• 5+ years of experience in Compliance or Operations at a regulated financial institution.
• Specific experience in BSA/AML compliance.
• Experience with licensing and registration requirements.

Responsibilities

• Oversee KYC and AML processes to ensure compliance.
• Conduct KYB checks and ensure proper vetting.
• Monitor transactions for suspicious activity.

Skills

Experience in Compliance

Knowledge of BSA/AML

Experience with licensing requirements

Familiarity with financial products

Strong organizational skills

Tools

Thomson Reuters CLEAR

Plaid

Job description

Overview

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. 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 We Value

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.

• Be Selective To Be Effective.
• Be Highly Aligned, Loosely Coupled.
• Disagree Transparently.
• Build Dream Teams.

Who You Are

GalaxyOne is seeking a Compliance Associate to join the Compliance team in a generalist capacity. In this position, you’ll report directly to the GalaxyOne Head of Compliance and assist across multiple Compliance workstreams. You will closely collaborate with the Client Services team, managing escalations across KYC, KYB, transaction monitoring, and fraud cases. You’ll also assist in tracking various regulatory licensing workstreams, providing real time updates to business partners. You are well organized and able to manage multiple workstreams simultaneously. You are a strong self-starter, owning daily, monthly, and quarterly reviews from start to finish. Your expertise will be relied upon cross-functionally to deliver helpful and effective compliance guidance throughout the client lifecycle.

This role is fully remote and candidates must be in either eastern or central time zone to qualify.

What You’ll Do

• Manage KYC/AML Compliance: Oversee the Know Your Customer (KYC) and Anti-Money Laundering (AML) processes, ensuring customer identification and due diligence procedures are compliant with regulations.
• Conduct KYB (Know Your Business) Checks: Implement and review Know Your Business protocols for business customers, ensuring proper vetting of company structures, owners, and compliance with regulatory requirements.
• Transaction Monitoring: Review and monitor transactions for suspicious activity, ensuring all transactions comply with AML policies and regulatory guidelines.
• Fraud Prevention & Investigation: Develop and maintain fraud detection systems, identify potential fraud risks, investigate suspicious activity, and recommend remediation actions.
• BSA Audits and Reporting: Assist in conducting Bank Secrecy Act (BSA) audits, ensuring adherence to regulations and preparing timely reports for management and regulatory bodies.
• Policies and Procedures Enhancements: Continuously evaluate and update compliance policies and procedures to align with regulatory changes and industry best practices.
• Vendor Management: Manage relationships with third-party vendors, ensuring they adhere to compliance requirements and conducting periodic risk assessments.
• Licensing Compliance: Assist in managing and tracking the application, renewal, and maintenance of all required licenses and registrations, ensuring ongoing compliance with local, state, and federal regulations.
• Marketing Compliance Reviews: Review marketing materials and campaigns to ensure adherence to regulatory requirements, preventing misleading claims or non-compliant promotions.
• Customer Complaint Management: Review, track, and report on escalated customer complaints to relevant partners and regulators.

What We’re Looking For

• 5+ years of experience in Compliance or Operations role at a regulated financial institution or FinTech
• Specific experience in BSA/AML
• Experience with licensing and registration requirements, specifically MTLs and State Lending Licenses
• Experience with Banking and Securities regulations
• Experience using Thomson Reuters CLEAR, Plaid
• Experience coordinating with multiple stakeholders, including internal teams, parent companies, and external partners.
• Familiarity with various financial products, including banking, equities, cryptocurrency, private placements, etc.

Bonus Points

• A Series 24 license
• Prior experience working in a startup, fast paced environment.
• Experience with NACHA ACH rules and compliance.
• Interested/experienced in cryptocurrency.
• Familiarity with and willingness to leverage AI tooling

What We Offer

• Competitive base salary and discretionary bonus
• Fully remote work schedule
• Company paid sick leave
• Company-paid health and protective benefits for employees, partners, and other dependents
• 3% 401(k) company contribution
• Free virtual coaching and counseling sessions through Headspace
• Opportunities to learn about the Crypto industry
• Smart, entrepreneurial, and fun colleagues
• Employee Resource Groups

Note: EEO statements and accommodation information are provided as part of our equal opportunity commitments and application process. If you require a reasonable accommodation to participate in the application process or interview, please contact [e-mail].

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