Deputy Chief Compliance Officer

Position Summary:

Grayscale Investments is seeking a Deputy Chief Compliance Officer to support the Firm’s compliance programs by serving as a subject matter expert and supporting the Compliance team in executing its compliance responsibilities. As the Deputy Chief Compliance Officer, you’ll assist in developing and implementing the compliance programs, ensuring adherence to regulatory requirements, industry standards, and internal policies. This position will involve collaborating with various stakeholders, providing guidance to the compliance team, and driving a culture of compliance throughout the organization. Ideal candidate will enjoy partnering with CCO to hire, train and mentor growing compliance team.

Responsibilities:

• Assist the Chief Compliance Officer with the development, implementation, strategy, and oversight of the organization's compliance program. 
• Play a pivotal role in continuing to strengthen the Firm's culture of compliance through effective communication of regulatory and compliance requirements and collaboration with key stakeholders in support of the Firm's goals.
• Serve as a Firmwide resource for colleagues seeking clarification on compliance matters.
• Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.
• Assess compliance issues raised by new business prospects, including new funds, vehicles, products, and business lines.
• Identify regulatory and compliance requirements and recommend best practices to business stakeholders in a proactive and collaborative manner on issues of import to the Firm.
• Continuously monitor the regulatory environment for proposed rules, guidance, and industry trends that may affect the Firm’s compliance and business models.
• Implement new policies and procedures to ensure compliance with SEC, FINRA and NFA rules and regulations.
• Drive the compliance supervisory program including testing the Firm’s compliance program and development of the Firm’s controls process.
• Lead and mentor junior staff.
• Complete vendor due diligence program including conducting due diligence meetings.

Prior Experience/Requirements:

• Bachelor's degree with strong academic achievement.
• 12-15 years compliance experience in the financial services industry, including a robust understanding of and experience with digital assets, blockchain technology and wallets and an understanding of the regulatory landscape in digital assets.
• Experience evaluating risk and mapping risk and controls across Firm practices.
• Strong experience and detailed working knowledge of US regulation applicable to investment managers including the Investment Advisors Act, SEC rules and compliance programs for investment advisers.
• Experience with regulatory examinations, investigations or other interactions specifically with the SEC, NFA and FINRA.
• Demonstrable knowledge of U.S. securities laws, particularly the Investment Company Act of 1940, the Investment Advisors Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other SEC, CFTC & FINRA regulations.
• Ability to provide accurate, direct and practical advice in a timely fashion.
• Skilled at developing others as a direct manager or through mentoring/helping upskill.
• Detail oriented with the ability to assess and prioritize projects.
• Ability to operate in a fast-paced environment.
• FINRA Series 7 and 24 required.