Compliance Associate

4 weeks ago

Melbourne, Victoria, Australia Galaxy Full time
Overview

Compliance Associate to join the Compliance team. Role reports to the GalaxyOne Head of Compliance and collaborates with the Client Services team across KYC, KYB, transaction monitoring, and fraud cases. This role tracks regulatory licensing workstreams and provides real-time updates to business partners. Fully remote; candidates must be in the Eastern or Central time zone to qualify.

What You'll Do
  • Manage KYC/AML Compliance: oversee customer due diligence procedures and ensure regulatory compliance.
  • Conduct KYB Checks: vet business customers, owners, and applicable regulatory requirements.
  • Transaction Monitoring: review transactions for suspicious activity in line with AML policies.
  • Fraud Prevention & Investigation: develop and maintain fraud detection systems, investigate suspicious activity, and recommend remediation actions.
  • BSA Audits and Reporting: assist with Bank Secrecy Act audits and timely reporting.
  • Policies and Procedures Enhancements: update compliance policies in response to regulatory changes.
  • Vendor Management: manage third-party vendor relationships and conduct risk assessments.
  • Licensing Compliance: track applications, renewals, and maintenance of licenses and registrations.
  • Marketing Compliance Reviews: ensure promotional materials comply with regulatory requirements.
  • Customer Complaint Management: review, track, and report escalated complaints to partners and regulators.
What We're Looking For
  • Bachelor's degree
  • 5+ years of Compliance or Operations experience in a regulated financial institution or FinTech
  • Experience in BSA/AML
  • Experience with licensing/registration requirements (e.g., MTLs, State Lending Licenses)
  • Experience with Banking and Securities regulations
  • Experience using Thomson Reuters CLEAR, Plaid
  • Experience coordinating with multiple stakeholders
  • Familiarity with financial products including banking, equities, cryptocurrency, and private placements
Bonus Points
  • Series 24 license
  • Prior startup or fast-paced environment experience
  • NACHA ACH rules compliance knowledge
  • Interest/experience in cryptocurrency
  • Willingness to leverage AI tooling
What We Offer
  • Competitive base salary and discretionary bonus
  • Fully remote work schedule
  • Flexible Time Off (unlimited vacation)
  • Company paid holidays (11)
  • Company paid sick leave
  • Company-paid health benefits for employees and dependents
  • 3% 401(k) company contribution
  • Generous paid parental leave
  • Free virtual coaching and counseling through Headspace
  • Opportunities to learn about the Crypto industry
  • Smart, entrepreneurial, and collaborative colleagues
  • Employee Resource Groups
Equal Opportunity

Galaxy respects diversity and provides equal employment opportunities to all applicants regardless of age, race, color, creed, religion, sex or gender, gender identity or expression, sexual orientation, marital or caregiver status, ancestry, national origin, citizenship status, disability, military or veteran status, or genetic information. If reasonable accommodation is needed to participate in the application process, please contact careers@galaxy.com.


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