Compliance Associate, Advertising and Marketing Review

Grayscale Investments is seeking a Compliance Associate, Advertising and Marketing Review to support the Firm’s Registered Investment Adviser and Broker-Dealer. Grayscale Investments is the world’s largest digital currency asset manager. Through its family of investment products, Grayscale provides access to the digital currency asset class in the form of a traditional security without the challenges of buying, storing, and safekeeping digital currencies directly. With a proven track record and unrivaled experience, Grayscale’s products operate within existing regulatory frameworks, creating secure and compliant exposure for investors. 

Responsibilities:

• Responsible for facilitating the day-to-day operations of the Firm’s marketing compliance program, including directly overseeing reviews of advertising and marketing materials (including social media) for the Firm’s Registered Investment Adviser and Broker-Dealer, and monitoring marketing activities to promote compliance with internal policies, applicable rules and regulations
• Monitor ongoing regulatory actions to ensure that team members are conducting marketing and advertising reviews with the most up-to-date industry knowledge
• Work closely with Marketing and Sales colleagues to ensure compliance with the Firm’s policies and procedures and to assist with efficient functioning of marketing materials delivery and workflows
• Effectively work and communicate across all levels of the organization
• Develop in-depth knowledge of the Firm’s investment products and capabilities
• Stay current on developments in the digital currency ecosystem

Prior Experience/Requirements:

• Bachelor's degree with strong academic achievement
• 3+ years of experience reviewing different types of marketing materials including, registered fund materials, website & social media content, customized investor presentations and distribution of materials for retail and accredited investors
• Strong understanding of the regulatory obligations under Rule 206(4)-1 of the Investment Advisers Act, SEC Marketing Rule, and FINRA Rule 2210, and any other applicable rules, regulations, SEC no-action letters, and interpretive guidance
• Ability to provide accurate, direct and practical advice in a timely fashion
• Detail oriented with the ability to assess and prioritize projects
• Ability to work effectively on a team
• Must be collaborative, flexible and adaptable, reliable with a strong ‘can do attitude’
• Ability to operate in a fast-paced environment
• Strong interest in digital assets, blockchain technology, and related concepts
• Series 7 required; Series 24 required

COVID-19 VACCINATION

COVID-19 vaccination is required for all employees whose position is based out of the Stamford, CT office. However, Grayscale will consider accommodations for disability- and religious-based reasons on a case by case basis.