Vice President, Legal and Compliance - CFTC Compliance
$180,000–$240,000 year
Hybrid · New York City, New York, United States
Job Summary
Vice President, Legal and Compliance responsible for establishing, maintaining and developing Galaxy’s CFTC compliance programs for swap dealer and CPO/CTA; provide advisory coverage to U.S. offices and global branches; evaluate new products and initiatives for compliance; create/maintain policies and procedures and administer training; perform e-communication surveillance and compliance testing; serve as point of contact with regulators (e.g., NFA) regarding examinations and inquiries; support governance activities; help prepare the CFTC annual report and filings for CPO/CTA; focus on supervisory procedures addressing conflicts of interest across business lines; collaborate with Legal, Finance, Risk, Operations, and IT; champion thoughtful adoption of AI to improve performance and leverage AI tools to enhance productivity and decision-making.
Required Qualifications
- A minimum of 5 years of legal or compliance experience/background preferably with a U.S. sell-side firm
- JD or MBA degree
- 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
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