Director of Compliance, Advertising and Marketing Review

Position Summary

Grayscale Investments is seeking a Director of Compliance, 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
• Work closely with Communications, 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
• Monitor ongoing regulatory actions to ensure that team members are conducting business with the most up-to-date industry knowledge
• Perform targeted reviews in connection with the specific ETF/ETP compliance requirements, including web and document disclosure, and other regulatory and compliance requirements
• Support the Firm’s compliance program under Rules 38a-1 of the Investment Company Act and 206(4)-7 of the Investment Advisers Act
• Effectively work and communicate across all levels of the organization

Prior Experience/Requirements: 

• Bachelor's degree with strong academic achievement
• 8+ 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
• Relevant knowledge and/or work experience with a variety of product types including alternative investment vehicles, private funds, and exchange-traded funds is required
• 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
• Knowledge of US ETF & ETP regulatory environment, including Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Act of 1934, and Securities Act of 1933
• Ability to provide accurate, direct and practical advice in a timely fashion
• Detail oriented with the ability to assess and prioritize projects
• Ability to operate in a fast-paced environment
• FINRA Series 7 and 24 required (or willing to obtain upon joining)