Compliance Associate, Policies, Procedures, and Norms

Grayscale Investments is seeking a Compliance Associate, Policies, Procedures, and Norms 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 regulated exposure for investors. 

Responsibilities:

• Responsible for the implementation of the Firm’s Code of Ethics
• Oversee and administer all aspects of the Firm’s Code of Ethics as it relates to employee trade preclearance, outside business activities, private investments, gifts and entertainment and public appearances
• Assist with the onboarding process for all employees, including the review of new hire personal accounts and connecting of employee personal accounts to broker feeds
• Provide guidance to employees on applicable policies and procedures in the Firm’s Code of Ethics and Compliance Manual
• Review, escalate, and assist in remediating any potential violations of the Firm’s Code of Ethics and Compliance Manual
• Conduct forensic tests of compliance policies and procedures
• Proactively identify areas of opportunity for improvement in implementation and administration of the Firm’s Compliance Program
• Develop in-depth knowledge of the Firm’s investment products and capabilities
• Stay current on developments in the digital currency ecosystem

Prior Experience/Requirements:

• 2-4 years of relevant experience implementing a Code of Ethics program for an SEC registered investment advisor or FINRA registered Broker-Dealer
• 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
• FINRA Series 7 must be obtained within (six) 6 months of hire date
• Bachelor's degree with strong academic achievement

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.