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Expect deep questions on market-abuse detection, alert triage, investigation quality, and how you set standards for a surveillance program at VP level. Be ready to discuss regulatory themes relevant to market surveillance, how you prioritize false positives versus true risk, and how you lead teams and cross-functional partners under scrutiny. Prepare concrete examples of program build-outs, control failures you fixed, and how you report risk to executives.
Strong fit if you have senior compliance or market-surveillance leadership experience and want an on-site VP mandate in New York City at Galaxy. Thin public DATA on the employer means you should validate business lines, products under surveillance, and team scope in the process rather than assume them from generic “Galaxy” search results.
As VP, Compliance Market Surveillance at Galaxy in New York City, the day centers on running and elevating surveillance of trading and market activity. Typical focus areas include reviewing alerts and escalations, tuning surveillance rules and coverage, partnering with trading, legal, and risk on investigations, and ensuring policies and controls meet applicable market-abuse and conduct expectations. You would brief senior stakeholders, drive remediation when control gaps appear, and keep documentation audit-ready for regulators and internal oversight.
No. The listing is for New York City, New York, with remote set to off-site not available (remote = 0).
VP-level ownership of market-surveillance compliance: monitoring frameworks, investigations, policy and control effectiveness, and escalation to senior leadership.
Confirm which markets, products, and entities the surveillance program covers, team size, regulatory footprint, and reporting lines—public DATA supplied here does not reliably describe the employer.
Website: galaxy.com
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Public cache only — not an employee review.
VP, Compliance Market Surveillance at Galaxy in New York City, New York leads the firm’s market surveillance function, ensuring trading activities meet regulatory standards and supporting the company’s mission to advance digital‑asset innovation. About the Role In this senior leadership position, you will design and oversee the comprehensive surveillance program that monitors trading behavior across Galaxy’s digital‑asset platforms. You will partner with legal, risk, and technology teams to detect potential market abuse, ensure adherence to applicable securities laws, and drive continuous improvement of surveillance tools and processes. What You'll Do Develop, implement, and maintain market‑surveillance policies and procedures aligned with SEC, FINRA, CFTC, and other relevant regulations. Direct a team of analysts responsible for real‑time monitoring of trades, order‑book activity, and blockchain‑based transactions. Investigate alerts, conduct root‑cause analysis, and prepare detailed reports for internal stakeholders and regulatory bodies. Collaborate with product and engineering groups to embed surveillance controls into new trading features and digital‑asset offerings. Stay current on emerging market‑manipulation typologies and advise on regulatory changes that impact the digital‑assets space. Metrics‑driven reporting: track key performance indicators, present findings to senior management, and recommend enhancements to the surveillance framework. Lead training initiatives to raise awareness of compliance obligations across the organization. Serve as the primary point of contact for regulator inquiries and examinations related to market conduct. What We're Looking For Extensive experience in compliance, market surveillance, or financial‑crime prevention within securities, futures, or digital‑asset markets. Deep knowledge of U.S. securities regulations, including Rule 10b‑5, Market Abuse Regulation equivalents, and AML/KYC requirements. Proven ability to build and lead high‑performing teams in fast‑moving, technology‑focused environments. Strong analytical skills with familiarity using surveillance platforms, trade‑reconstruction tools, and data‑analytics techniques. Excellent communication and interpersonal abilities to influence senior leadership, regulators, and cross‑functional partners. Bachelor’s degree in finance, law, economics, or a related field; advanced degree or professional certification (e.g., CFA, CAMS) is a plus. Demonstrated track record of delivering clear, actionable insights and driving process improvements. About Galaxy Galaxy is a worldwide leader in digital‑asset solutions and data‑center facilities, creating tools that speed up advancements in finance and artificial intelligence. The company believes…
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